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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2016-12-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Secu Brokerage Services | Raleigh | NC | 08/2016 | Present |
| Secu Life Insurance Company | Raleigh | NC | 08/2016 | Present |
| State Employees' Credit Union | Chapel Hill | NC | 08/2007 | Present |
| Credit Union Investment Services | Raleigh | NC | 10/2016 | Present |
| Members Trust Company | Tampa | FL | 07/2022 | Present |
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL ADVISORY SERVICES SPECIALIST. START DATE 8/2007. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 8/2016. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. Mary Kay. Not investment related. Address: 2986 Grassy Knoll Cir, Thomasville, NC 27360. Nature: Cosmetics sales. Title: Owner/Consultant. Start date: 2/14/2018. Devote no time per month to other business during business hours or otherwise. Duties: Sell cosmetics. Rental property. Shadow Valley Rd Condo, 2233 Shadow Valley Rd Unit B, High Point, NC 27265. Investment related. Nature: rental property. Title: Owner. Start date: 5/20/2019. Devote approximately 2 hours per month to other business, none during securities trading hours. Duties: authorize repairs/communicate with rental company. Rental property. Investment related. 2218 A Shadow Valley Rd, High Point, NC 27265. Nature: Real estate/rental property. Title: Owner. Start date 4/22/2021. Devote approximately 2 hours per month to other business, none during securities trading hours. Duties: Landlord. Rental property. Investment related. 2219 B Shadow Valley Rd, High Point, NC 27265. Nature: Real estate/rental property. Title: Owner. Start date 4/5/2021. Devote approximately 2 hours per month to other business, none during securities trading hours. Duties: Landlord. Members Trust Company. Investment related business. Nature: Trust Services. Address: 14025 Riveredge Drive, Suite 280, Tampa, FL 33637. Start date: July, 2022. Title: Trust Rep.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-14 |
| S66 | Uniform Combined State Law Examination | 2006-07-24 |
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