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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| State Employees' Credit Union | Lexington | NC | 12/2022 | Present |
| Rei | Asheville | NC | 09/2019 | 01/2022 |
| Appalachian State University | Boone | NC | 08/2016 | 08/2019 |
| Unemployed | Hickory | NC | 01/2022 | 12/2022 |
| Secu Brokerage Services | Raleigh | NC | 05/2023 | Present |
| Secu Life Insurance Company | Raleigh | NC | 05/2023 | Present |
| Credit Union Investment Services | Raleigh | NC | 08/2023 | Present |
State Employees' Credit Union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 12/2022. 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: 5/2023. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. SLO-ELK LLC 1422 BILLINGS DR HICKORY, NC 28602 COMMERCIAL REAL ESTATE MANAGED BY FATHER. INVESTMENT RELATED. JOINT OWNER WITH SISTER. DUTIES: NONE, FUNDS ARE DEPOSITED DIRECTLY INTO THE TRUST ACCOUNT. START DATE JULY 2017. HOURS DEVOTED TO BUSINESS: NONE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-09-20 |
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