John B. Whaley

CREDIT UNION INVESTMENT SERVICES

Raleigh, NC 27603

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CRD#: 5552954

Professional summary

John Brandon Whaley, CFP® is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Raleigh, North Carolina and SECU BROKERAGE SERVICES located in Raleigh, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. 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: OCTOBER, 2010. TITLE: TRUST REP. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: Secretary/Chief Operating Officer. START DATE: 7/2012. 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) - RIA

Click below to view John Brandon Whaley'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®

CFP^®

Certified Financial Planner

Experience

Current

March 12, 2009 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 801 Hillsborough St. 3rd Floor, Raleigh, NC 27603

RIA

CRD#: 144871

Raleigh, NC

Current

August 14, 2008 - Present

SECU BROKERAGE SERVICES

Office #1: 801 Hillsborough St, Raleigh, NC 27603

CRD#: 19899

Raleigh, 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.

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

North Carolina
(11/12/2008)

IAR

North Carolina
(3/12/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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 Accounts	1
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.

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John B. Whaley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Brandon Whaley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2008

Series 24

Date: 2/25/2010

FINRA

Current Firm

CREDIT UNION INVESTMENT SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CREDIT UNION INVESTMENT SERVICES

TRUST BUT VERIFY

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