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DG

Dawn B. Griggs

Some features on this profile are disabled
CRD#: 4900331
DG

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.

Dawn Buchanan Griggs, CFP®, who also goes by Dawn Griggs, was a registered financial professional .

Dawn is a previously registered financial professional and started their career in finance in 2005. Dawn had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dawn Griggs

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 ADVISORY SERVICES. 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: 6/2022. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. Griggs Group, LLC 516 W 2nd Ave, Gastonia NC 28052. Home improvement, not investment related. Member, Administrative duties, start date: 7/2021., hrs/mo: 20. None during trading hours. Dawn Griggs Real Estate 516 W 2nd Ave., Gastonia NC 28052. Real Estate/Rental Property. Investment related. Title: Realtor. Duties: No affiliation with a BIC, referrals only. Start date: 5/2022. Hours/mo none. 2712 Birchfield Lane, Gastonia NC 28056. Investment related, rental property. Start date: 7/2022. Hrs/mo 10-20. None during trading hours. Construction Partner 516 W. 2nd Ave. Gastonia, NC. 28052. Type of Business: Home Remodel/Construction (House flipping). Start Date: 11/06/2023. Hours Per Month: 24 hrs. Members Trust Company. Investment related business. Nature: Trust Services. Address: 14025 Riveredge Drive, Suite 280, Tampa, FL 33637. Start date: July, 2022. Title: Trust Rep.

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®
CFP®

Certified Financial Planner

Start date: 2018

Experience

Past

June 16, 2022 - January 9, 2024

SECU BROKERAGE SERVICES

BD
CRD#: 19899
HICKORY, NC
Past

June 3, 2022 - January 9, 2024

CREDIT UNION INVESTMENT SERVICES

RIA
CRD#: 144871
Hickory, NC
Past

May 21, 2019 - October 12, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

May 8, 2019 - October 12, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

May 26, 2016 - January 5, 2017

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
CHARLOTTE, NC
Past

February 7, 2005 - January 5, 2017

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

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
Series 63
Date: 8/23/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/11/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/4/2005
Investment Company Products/Variable Contracts 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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