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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-03-19 |
Branch Locations
1595 Corporation Parkway, Raleigh, NC 27604 • United States
4050 Poole Rd, Raleigh, NC 27610 • United States
Cary, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Cary | MA | 02/2023 | 02/2025 |
| State Employees' Credit Union | Raleigh | NC | 01/2021 | 02/2023 |
| Tom James Company | Franklin | TN | 02/2018 | 01/2021 |
| Appalachian State University | Boone | NC | 08/2013 | 12/2017 |
| Unemployed | Raleigh | NC | 12/2017 | 02/2018 |
| State Employees' Credit Union | Raleigh | NC | 03/2025 | Present |
| Secu Brokerage Services | Raleigh | NC | 03/2025 | Present |
| Credit Union Investment Services | Raleigh | NC | 03/2025 | Present |
| Secu Life Insurance Company | Raleigh | NC | 03/2025 | Present |
State Employees' Credit Union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 3/2025. 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: 03/2025. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. OBA-99837|OrgNmn: Pirates Cove HOA|Org Addr:Cary,North Caro,US|OBA Nature:Home Owners Association|Invst Rel:N|Title:President|Duties:Monthly Board Meetings, voting member and other communications via email etc.|StrtDt:10-01-20|TotHrs/mon:10|TrdHrs/mon:0|Has check writing authority|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-06-07 |
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