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

Deana M. Spainhour

CREDIT UNION INVESTMENT SERVICES
Lincolnton, NC 28092
Some features on this profile are disabled
CRD#: 5736983
DS

Professional summary

Deana Marie Spainhour, who also goes by Deana Marie Layton, is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Lincolnton, North Carolina and SECU BROKERAGE SERVICES located in Lincolnton, North Carolina.

Deana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Deana has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Deana Marie Layton

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: 4/2003. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBER TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 10/2016. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. 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, 2018. TITLE: TRUST REP. Local Roots & Provisions, LLC, 110 East Water St., Lincolnton NC 28092. Business nature: restaurant - to open in late 2020, LLC establishment date of 1/2020. Not investment related. Title: co-owner with spouse. Duties: supportive administrative duties, oversee staff/planning/training as needed. Hours per month devoted to other business: 25, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deana Marie Spainhour'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

January 25, 2017 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 110 Sigmon Rd, Lincolnton, NC 28092
RIA
CRD#: 144871
Lincolnton, NC
Current

April 25, 2017 - Present

SECU BROKERAGE SERVICES

Office #1: 110 Sigmon Rd., Lincolnton, NC 28092
BD
CRD#: 19899
Lincolnton, NC
Past

January 13, 2010 - November 15, 2011

SECU BROKERAGE SERVICES

BD
CRD#: 19899
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

IAR
North Carolina
(1/25/2017)
RR
North Carolina
(4/26/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/25/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/25/2017
Investment Company Products/Variable Contracts 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#: 144871Lincolnton, NC 28092

TRUST BUT VERIFY

Monitor Deana Spainhour

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

Similar Advisors

JA
Jared AdamsAdvisorCheck Check Mark
SMITH, BROWN & GROOVER, INC.
PR
MACON, GA
RK
Richard KrawczeskiAdvisorCheck Check Mark
SEQUOIA FINANCIAL GROUP, L.L.C.
PR
AKRON, OH
Alexander Winslow Kimmel
Alexander KimmelAdvisorCheck Check Mark
CHARLES SCHWAB & CO., INC.
PR
SAN FRANCISCO, CA
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.