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Shawn Thomas Elder

Shawn T. Elder

CREDIT UNION INVESTMENT SERVICES
Winston Salem, NC 27103
CRD#: 6652825
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Shawn Thomas Elder
Shawn Thomas ElderCREDIT UNION INVESTMENT SERVICES

Professional summary

Shawn Thomas Elder, CFP® is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Winston Salem, North Carolina and SECU BROKERAGE SERVICES located in Winston Salem, North Carolina.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Shawn has worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Thomas Elder'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

Start date: 2022

Experience

Current

April 17, 2023 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 1025 Peace Haven Rd, Winston Salem, NC 27103
RIA
CRD#: 144871
Winston Salem, NC
Current

March 3, 2023 - Present

SECU BROKERAGE SERVICES

Office #1: 1025 S. Peace Haven Road, Winston Salem, NC 27103
BD
CRD#: 19899
Winston Salem, NC
Past

September 7, 2016 - March 15, 2018

SECU BROKERAGE SERVICES

BD
CRD#: 19899
Winston Salem, 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
(4/14/2023)
IAR
North Carolina
(4/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/14/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/3/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/26/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/7/2016
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.

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Company Information

CREDIT UNION INVESTMENT SERVICES

CRD#: 144871Winston Salem, NC 27103

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