CS
Christopher R. Smith
CREDIT UNION INVESTMENT SERVICES
Louisburg, NC
Some features on this profile are disabled
CRD#: 6318287
CS
Professional summary
Christopher Read Smith is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Louisburg, North Carolina and SECU BROKERAGE SERVICES located in Raleigh, North Carolina.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Christopher has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 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. TITLE: VICE PRESIDENT. START DATE: 11/2003. SPEND APPROXIMATELY 95% OF TIME CONDUCTING SECU BUSINESS. DUTIES: HIRE AND SUPERVISE BRANCH PERSONNEL. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 11/2014. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. HOLISTIC MOVES, 552 JOE DENTON RD., LOUISBURG, NC 27549. NOT INVESTMENT RELATED. TITLE: OWNER-SOLE PROPRIETORSHIP. NATURE: NEUROMOVEMENT PRACTITIONER. START DATE: JUNE, 2015. HRS/MO. 8. NONE DURING TRADING HOURS 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, 2015. TITLE: TRUST REP. Anat Baniel Method- ABM Address: 1299 4th St. Suite 203 San Rafael, CA. 94901 Type of Business: Medical Services Title: Support Staff Duties: As needed and A/V Start Date: 06/20/2015 Hours devoted: once every few months Website: WWW.anatbanielmethod.com/
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Read Smith'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®
NoneExperience
Current
December 26, 2014 - Present
CREDIT UNION INVESTMENT SERVICES
Office #2: 801 Hillsborough St. 3rd Floor, Raleigh, NC 27603RIA
CRD#: 144871
Louisburg, NC
Current
June 13, 2014 - Present
SECU BROKERAGE SERVICES
Office #1: 801 Hillsborough Street 3rd Floor, Raleigh, NC 27603BD
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(7/11/2014)
IAR
North Carolina(12/26/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/31/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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.
