Riddhi K. Agarwal

CREDIT UNION INVESTMENT SERVICES

Greensboro, NC 27401

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CRD#: 7639925

Professional summary

Riddhi K Agarwal 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.

Riddhi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Riddhi has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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 Specialist. Start date 04/2024. Duties: provide financial services to eligible members and provide opportunities for members to improve their economic and social condition. Rolls LLC. Address: 135 Lodgepole Ln Burlington, NC. 27215 Nature: Non-Investment, Frozen Indian snacks. Title: Owner. Start Date: 08/07/2023. Hours per Month: 20. Meeting businesses who sell Indian snacks.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riddhi K Agarwal'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

April 16, 2024 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 1030 West Market St, Greensboro, NC 27401

RIA

CRD#: 144871

Greensboro, NC

Current

April 16, 2024 - Present

SECU BROKERAGE SERVICES

Office #1: 1030 W Market St, Greensboro, NC 27401

CRD#: 19899

Greensboro, NC

Past

April 11, 2023 - June 21, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RALEIGH, NC

Past

December 2, 2022 - June 21, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RALEIGH, 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
(4/16/2024)

IAR

North Carolina
(4/16/2024)

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 66

Date: 2/18/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/3/2022

Securities Industry Essentials 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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Riddhi K. Agarwal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riddhi K Agarwal's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 2/18/2023

Series 7TO

Date: 12/2/2022

SIE

Date: 2/3/2022

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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