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Current Employers
Credit Union Investment Services

801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-07-10
  • NC RA
    APPROVED
    Since 2023-07-10

Branch Locations

5130 Poplar Tent Road, Concord, NC 28026 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Secu Brokerage Services Raleigh NC 09/2013 Present
State Employees' Credit Union Wilson NC 05/2009 09/2023
Credit Union Investment Services Raleigh NC 05/2014 Present
Secu Life Insurance Company Raleigh NC 11/2014 Present
Members Trust Company Tampa FL 09/2017 Present
State Employees' Credit Union Concord NC 10/2023 Present
  • 09/2013 → Present
    Secu Brokerage Services
    Raleigh, NC
  • 05/2009 → 09/2023
    State Employees' Credit Union
    Wilson, NC
  • 05/2014 → Present
    Raleigh, NC
  • 11/2014 → Present
    Secu Life Insurance Company
    Raleigh, NC
  • 09/2017 → Present
    Members Trust Company
    Tampa, FL
  • 10/2023 → Present
    State Employees' Credit Union
    Concord, NC
Previous Registrations
Other Businesses

STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: REGISTERED REP START DATE 07/2023. SPEND APPROXIMATELY 95% OF TIME CONDUCTING SECU BUSINESS. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 11/2014. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. MEMBERS TRUST COMPANY. INVESTMENT RELATED BUSINESS. NATURE: TRUST SERVICES. ADDRESS: 14025 RIVEREDGE DRIVE, SUITE 280, TAMPA, FL 33637. SPEND APPROXIMATELY 1% OF TIME CONDUCTING MTC BUSINESS. START DATE: SEPTEMBER, 2017. TITLE: TRUST REP.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-16
S63 Uniform Securities Agent State Law Examination 2014-05-28
  • S65 Uniform Investment Adviser Law Examination
    2014-09-16
  • S63 Uniform Securities Agent State Law Examination
    2014-05-28

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