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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 2018-05-21
  • NC RA
    APPROVED
    Since 2018-05-21

Branch Locations

6400 Town Center Dr., Raleigh, NC 27616 • 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 10/2017 Present
Secu Life Insurance Company Raleigh NC 10/2017 Present
State Employees' Credit Union Raleigh NC 05/2014 Present
Credit Union Investment Services Raleigh NC 01/2018 Present
Members Trust Company Tampa FL 09/2019 Present
  • 10/2017 → Present
    Secu Brokerage Services
    Raleigh, NC
  • 10/2017 → Present
    Secu Life Insurance Company
    Raleigh, NC
  • 05/2014 → Present
    State Employees' Credit Union
    Raleigh, NC
  • 01/2018 → Present
    Raleigh, NC
  • 09/2019 → Present
    Members Trust Company
    Tampa, FL
Other Businesses

STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL Advisory Services Specialist. START DATE 5/2014. 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: 10/2017. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. Rental of previous home. Investment related business. Address: 2217 Briar Glen Rd, Winston-Salem, NC 27127. Nature: rental property. Title: Owner. Start date: 11/10/2018. Devote approximately 3 hours per month to other business, none during securities trading hours. Duties: Approval of repairs. 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, 2019. TITLE: TRUST REP.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-21
S63 Uniform Securities Agent State Law Examination 2018-01-29
  • S65 Uniform Investment Adviser Law Examination
    2018-05-21
  • S63 Uniform Securities Agent State Law Examination
    2018-01-29
Other Names
  • Ben Foreman

View on SEC IAPD

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