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PF

Patricia E. Frese

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CRD#: 2675603
PF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patricia Ellen Frese, who also goes by Patty Frese, Patricia Ellen Lund, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1995. Patricia had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patty Frese | Patricia Ellen Lund

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL SERVICES OFFICER. START DATE 11/2006. SPEND APPROXIMATELY 95% OF TIME CONDUCTING SECU BUSINESS. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBER TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. 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, 2012. TITLE: TRUST REP. OWNER RENTAL PROPERTY, 9216 SAYORNIS COURT, RALEIGH, NC 27615. START DATE: JAN, 2006. NO DUTIES, NO HRS/MO DEVOTED TO BUSINESS. DOES HAVE CHECK WRITING AUTHORITY. RENTAL PROPERTY. ADDRESS: 2014 LORD GRANVILLE LLC, 209 MCCLELLAND TRAIL, MEBANE, NC 27302. NATURE: RENTAL PROPERTY. TITLE: OWNER. START DATE: 7/1/2014. DEVOTE APPROXIMATELY 1 HOUR PER MONTH TO OTHER BUSINESS; DEVOTE NO TIME DURING SECURITIES TRADING HOURS. DUTIES: PROPERTY MANAGEMENT. HAS CHECK-WRITING AUTHORITY. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 9/2014. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 30, 2007 - May 13, 2022

SECU BROKERAGE SERVICES

BD
CRD#: 19899
MEBANE, NC
Past

November 5, 2007 - May 13, 2022

CREDIT UNION INVESTMENT SERVICES

RIA
CRD#: 144871
Mebane, NC
Past

October 24, 2007 - November 5, 2007

SECU BROKERAGE SERVICES

RIA
CRD#: 19899
MEBANE, NC
Past

September 23, 2005 - July 5, 2006

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
DURHAM, NC
Past

January 3, 2005 - July 5, 2006

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
DURHAM, NC
Past

October 9, 2002 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

BD
CRD#: 120471
DURHAM, NC
Past

October 1, 1999 - October 3, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 30, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

November 16, 1995 - December 8, 1998

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/1995
General Securities Representative Examination

Current Firm

SB
SECU BROKERAGE SERVICES
SECU BROKERAGE SERVICES | XCU CAPITAL CORPORATION, INC. | XCU BROKERAGE SERVICES, INC. | SECU BROKERAGE SERVICES, INC.

CRD#: 19899 / SEC#: , 8-37927

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
801 Hillsborough Street 3rd Floor, Raleigh, NC 27603
Mailing Address
P.o. Box 26807, Raleigh, NC 27611-6807
Phone number
(800) 451-5467
Established
North Carolina since 04/17/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CREDIT UNION INVESTMENT SERVICESOWNER144871
APPLEQUIST, JAMMISON ANDREWDIRECTOR4790400
BRADY, LEIGH WALSTONDIRECTOR6258342
CARTER, TENESHA THOMPSONPRESIDENT/CEO5200270
CHALK, GRAHAM LEEDIRECTOR7740745
HAMILTON, MATTHEW ALLENCOO4566788
HAMRICK, JENNIFER BRYANDIRECTOR
JENKINS, LESLIE ANNADIRECTOR8168266
SIMMS, PETER BOYETTECCO6377097
SPIVEY, REX ALANCFO6675458
WADDELL, STACEY JUNEDIRECTOR5526230

Disclosures

Regulatory Event7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SECU BROKERAGE SERVICES

CRD#: 19899

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