Shawn T. Elder

CREDIT UNION INVESTMENT SERVICES

Winston Salem, NC 27103

CRD#: 6652825

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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

CRD#: 19899

Winston Salem, NC

Past

September 7, 2016 - March 15, 2018

SECU BROKERAGE SERVICES

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.

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
(4/14/2023)

IAR

North Carolina
(4/17/2023)

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

Series 63

Date: 4/14/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/3/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 1/26/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/7/2016

Investment Company Products/Variable Contracts Representative 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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Shawn T. Elder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Thomas Elder's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

SECU BROKERAGE SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 4/14/2023

Series 6TO

Date: 3/3/2023

SIE

Date: 1/26/2023

Series 6

Date: 9/7/2016

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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