AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DS

David L. Spencer

CREDIT UNION INVESTMENT SERVICES
Huntersville, NC 28078
Some features on this profile are disabled
CRD#: 4981079
DS

Professional summary

David Lindsey Spencer, who also goes by David L. Spencer, David L Spencer, is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Huntersville, North Carolina and SECU BROKERAGE SERVICES located in Huntersville, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David L. Spencer | David L Spencer

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 Specialist. Start date 10/2022. 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: 10/2022. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. OBA-62109|OrgNmn:D & A Investment Group, LLC|Org Addr:Apex,North Caro,US|OBA Nature:D&A Investment Group, LLC INVE|Invst Rel:Y|Title:Partner|Duties:Invest personal funds in business as needed, collect rents, handle repairs, file taxes & annual registration to Secretary of State|StrtDt:01-17-2005|TotHrs/mon:3|TrdHrs/mon:1|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lindsey Spencer's CRS (Customer Relationship Summary).

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

Current

October 21, 2022 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 10411 Arahova Dr., Huntersville, NC 28078
RIA
CRD#: 144871
Huntersville, NC
Current

October 21, 2022 - Present

SECU BROKERAGE SERVICES

Office #1: 10411 Arahova Drive, Huntersville, NC 28078Office #2: 19901 Holiday Lane, Cornelius, NC 28031
BD
CRD#: 19899
Huntersville, NC
Past

September 7, 2021 - October 3, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
MERRIMACK, NH
Past

August 18, 2021 - September 29, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL
Past

July 10, 2019 - May 19, 2021

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Huntersville, NC
Past

July 10, 2019 - May 19, 2021

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Huntersville, NC
Past

February 18, 2009 - July 12, 2019

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
CHARLOTTE, NC
Past

February 18, 2009 - July 12, 2019

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
CHARLOTTE, NC
Past

November 3, 2005 - January 9, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CHARLOTTE, NC
Past

October 13, 2005 - January 9, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CHARLOTTE, NC

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(10/21/2022)
IAR
North Carolina
(10/21/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/2/2005
Uniform Combined 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: 10/12/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CU
CREDIT UNION INVESTMENT SERVICES
CREDIT UNION INVESTMENT SERVICES | CREDIT UNION INVESTMENT SERVICES, INC.

CRD#: 144871 / SEC#:

North Carolina
Registered Investment Advisory firm - (9/5/2007 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
801 Hillsborough Street 3rd Floor, Raleigh, NC 27603
Mailing Address
Po Box 26807, Raleigh, NC 27611
Phone number
(800) 451-5467
Established
Firm type
Fiscal year end
# of Employees
258

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 110,960

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

CREDIT UNION INVESTMENT SERVICES

CRD#: 144871Huntersville, NC 28078

TRUST BUT VERIFY

Monitor David Spencer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
INNOVATION PARTNERS LLC
RR
Charlotte, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.