Joseph C. Hampton

CREDIT UNION INVESTMENT SERVICES

Greensboro, NC 27406

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CRD#: 6844463

Professional summary

Joseph Clark Hampton, who also goes by Joe Hampton, is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Greensboro, North Carolina and SECU BROKERAGE SERVICES located in Greensboro, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Joseph 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

Joe Hampton

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 Specialist. START DATE: 1/2012. 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: 8/2017. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. SECU*RE, INC. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: REAL ESTATE. TITLE: BROKER. START DATE: 1/2018. 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: SEPTEMBER, 2019. TITLE: TRUST REP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Clark Hampton'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®

None

Experience

Current

July 6, 2018 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 100 East Elmsley Dr., Greensboro, NC 27406

RIA

CRD#: 144871

Greensboro, NC

Current

April 14, 2018 - Present

SECU BROKERAGE SERVICES

Office #1: 100 East Elmsley Drive, Greensboro, NC 27406

CRD#: 19899

Greensboro, 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
(4/26/2018)

IAR

North Carolina
(7/6/2018)

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

IAR

Series 65

Date: 7/6/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/14/2018

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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Joseph C. Hampton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Clark Hampton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2018

Series 63

Date: 4/26/2018

SIE

Date: 10/1/2018

Series 6

Date: 4/14/2018

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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