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Ashley P. Austin

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CRD#: 5180420
AA

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.

Ashley Pernay Austin was a registered financial professional .

Ashley is a previously registered financial professional and started their career in finance in 2008. Ashley had worked at 2 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

May 15, 2008 - June 13, 2022

SECU BROKERAGE SERVICES

BD
CRD#: 19899
RALEIGH, NC
Past

March 12, 2008 - June 13, 2022

CREDIT UNION INVESTMENT SERVICES

RIA
CRD#: 144871
Raleigh, 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: 4/7/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/10/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/6/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/2009
General Securities Principal 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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