Rex Alan Spivey
Professional Summary
Rex Alan Spivey is a registered financial advisor currently at SECU BROKERAGE SERVICES located in Raleigh, North Carolina. Rex is registered as a RR (Registered Representative) and started their career in finance in 2016. Rex has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
SECU BROKERAGE SERVICES | XCU CAPITAL CORPORATION, INC. | XCU BROKERAGE SERVICES, INC. | SECU BROKERAGE SERVICES, INC.
Contact Information
Main Address
801 Hillsborough Street 3rd Floor, Raleigh, NC 27603Mailing Address
P.o. Box 26807, Raleigh, NC 27611-6807Phone Number
(800) 451-5467Established
North Carolina since 04/17/2008Firm Type
CorporationFiscal Year End
JuneFirm Size
MediumFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT UNION INVESTMENT SERVICES | OWNER | 144871 |
| APPLEQUIST, JAMMISON ANDREW | DIRECTOR | 4790400 |
| BRADY, LEIGH WALSTON | DIRECTOR | 6258342 |
| CARTER, TENESHA THOMPSON | PRESIDENT/CEO | 5200270 |
| CHALK, GRAHAM LEE | DIRECTOR | 7740745 |
| HAMILTON, MATTHEW ALLEN | COO | 4566788 |
| HAMRICK, JENNIFER BRYAN | DIRECTOR | — |
| JENKINS, LESLIE ANNA | DIRECTOR | 8168266 |
| SIMMS, PETER BOYETTE | CCO | 6377097 |
| SPIVEY, REX ALAN | CFO | 6675458 |
| WADDELL, STACEY JUNE | DIRECTOR | 5526230 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Oct 2016About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rex Alan Spivey's CRS (Customer Relationship Summary).
