Joshua C. Swaim
Professional summary
Joshua Cory Swaim is a registered financial professional currently at SECU BROKERAGE SERVICES located in Winston Salem, North Carolina.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2026. Joshua has worked at 1 firm and has passed the Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Cory Swaim's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2026 - Present
SECU BROKERAGE SERVICES
Office #1: 1025 S. Peace Haven Road, Winston Salem, NC 27103State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/8/2026
General Securities Representative ExaminationFINRA
Current Firm
SECU BROKERAGE SERVICES
CRD#: 19899 / SEC#: , 8-37927
Contact information
FINRA licenses (1 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 | 7 |
Red Flags
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