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KS

Katherine L. Surles

CREDIT UNION INVESTMENT SERVICES
Raleigh, NC 27607
Some features on this profile are disabled
CRD#: 6134704
KS

Professional summary

Katherine Landis Surles, CFP®, who also goes by Katherine Landis Moore, 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.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Katherine has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katherine Landis Moore

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 District Manager. START DATE: 10/2007. DUTIES: SUPERVISE THE OFFERING OF FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. 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: SEPTEMBER, 2012. TITLE: TRUST REP. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 10/2014. 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 Katherine Landis Surles'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

January 28, 2013 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 2401 Blue Ridge Rd, Raleigh, NC 27607
RIA
CRD#: 144871
Raleigh, NC
Current

December 8, 2012 - Present

SECU BROKERAGE SERVICES

Office #1: 560 Centennial Pkwy, Raleigh, NC 27606Office #2: 801 Hillsborough St, Raleigh, NC 27603Office #3: 2401 Blue Ridge Road, Raleigh, NC 27607Office #4: 2802 Hillsborough St, Raleigh, NC 27607Office #5: 2101 Clark Ave, Raleigh, NC 27605
BD
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.
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
(1/28/2013)
IAR
North Carolina
(1/28/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/7/2012
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)
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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 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#: 144871Raleigh, NC 27607

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