AM
Adam W. Mark
CREDIT UNION INVESTMENT SERVICES
Harrisburg, NC 28075
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CRD#: 6836492
AM
Professional summary
Adam Wardwell Mark is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Harrisburg, North Carolina and SECU BROKERAGE SERVICES located in Charlotte, North Carolina.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Adam has worked at 2 firms and has passed the Series 65, Series 63, 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.
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL ADVISORY SERVICES DISTRICT MANAGER. START DATE: 11/2014. SPEND APPROXIMATELY 95% OF TIME CONDUCTING SECU BUSINESS. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 7/2017. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. 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: OCTOBER, 2018. TITLE: TRUST REP. Unwind Properties, LLC 408 Cobblers Dr., Matthews NC 28104. Rental Property. Investment related. Title: Member. Duties: accounting & bookkeeping. Start date: 03/2022. Hours/month devoted to other business: approx 20. None during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Wardwell Mark'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
March 15, 2018 - Present
CREDIT UNION INVESTMENT SERVICES
Office #1: 5555 Hwy 49, Harrisburg, NC 28075RIA
CRD#: 144871
Harrisburg, NC
Current
October 16, 2017 - Present
SECU BROKERAGE SERVICES
Office #1: 8605 University City Blvd, Charlotte, NC 28213Office #2: 5555 Highway 49, Harrisburg, NC 28075Office #3: 4720 Airport Center Pkwy, Charlotte, NC 28208Office #4: 10120 Couloak Drive, Charlotte, NC 28216BD
CRD#: 19899
Charlotte, 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(11/16/2017)
IAR
North Carolina(3/15/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 110,960 |
Red Flags
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