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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-03-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Secu Brokerage Services | Raleigh | NC | 06/2017 | 05/2019 |
| Secu Life Insurance Company | Raleigh | NC | 06/2017 | 01/2022 |
| State Employees' Credit Union | Asheville | NC | 06/2011 | 01/2022 |
| Soundbarre | Asheville | NC | 01/2017 | 08/2019 |
| Credit Union Investment Services | Raleigh | NC | 09/2017 | 05/2019 |
| Members Trust Company | Tampa | FL | 10/2018 | 01/2022 |
| Secu Brokerage Services | Raleigh | NC | 12/2022 | Present |
| State Employees' Credit Union | Asheville | NC | 05/2022 | Present |
| Members Trust Company | Tampa | FL | 05/2022 | Present |
| Secu Life Insurance Company | Raleigh | NC | 05/2022 | Present |
| Homemaker | Asheville | NC | 01/2022 | 05/2022 |
| Credit Union Investment Services | Raleigh | NC | 01/2023 | Present |
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL ADVISORY SERVICES SPECIALIST. START DATE 5/2022. 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: 5/2022. 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: May, 2022. TITLE: TRUST REP. Rental property, 521 Lyndhurst Dr., Hendersonville NC 28791. Investment related. Start date: Jan, 2023. Title: Landlord. Duties: none, spouse to handle all duties. Rental property, 27 Bessie Dr., Fletcher NC 28732. Investment related. Start date: March, 2023. Title: Owner/Landlord. Duties: none, spouse to handle all duties.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-08 |
| S65 | Uniform Investment Adviser Law Examination | 2018-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-28 |
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