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RS

Rex A. Spivey

SECU BROKERAGE SERVICES
Raleigh, NC 27603
Some features on this profile are disabled
CRD#: 6675458
RS

Professional summary

Rex Alan Spivey is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Rex Alan Spivey's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 10, 2016 - Present

SECU BROKERAGE SERVICES

Office #1: 119 North Salisbury Street, Raleigh, NC 27603
BD
CRD#: 19899
Raleigh, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 10/10/2016
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SECU BROKERAGE SERVICES
SECU BROKERAGE SERVICES | XCU CAPITAL CORPORATION, INC. | XCU BROKERAGE SERVICES, INC. | SECU BROKERAGE SERVICES, INC.

CRD#: 19899 / SEC#: , 8-37927

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
801 Hillsborough Street 3rd Floor, Raleigh, NC 27603
Mailing Address
P.o. Box 26807, Raleigh, NC 27611-6807
Phone number
(800) 451-5467
Established
North Carolina since 04/17/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CREDIT UNION INVESTMENT SERVICESOWNER144871
APPLEQUIST, JAMMISON ANDREWDIRECTOR4790400
BRADY, LEIGH WALSTONDIRECTOR6258342
CARTER, TENESHA THOMPSONPRESIDENT/CEO5200270
CHALK, GRAHAM LEEDIRECTOR7740745
HAMILTON, MATTHEW ALLENCOO4566788
HAMRICK, JENNIFER BRYANDIRECTOR
JENKINS, LESLIE ANNADIRECTOR8168266
SIMMS, PETER BOYETTECCO6377097
SPIVEY, REX ALANCFO6675458
WADDELL, STACEY JUNEDIRECTOR5526230

Disclosures

Regulatory Event7

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

SECU BROKERAGE SERVICES

CRD#: 19899Raleigh, NC 27603

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