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FIRM PROFILE
Overview
SECU BROKERAGE SERVICES is located at 801 Hillsborough Street 3rd Floor, Raleigh, NC 27603 and was first established at Atlanta, North Carolina in 04/17/2008. After operating for 17 years, SECU BROKERAGE SERVICES has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SECU BROKERAGE SERVICES’s clients are individuals and 0% of their clients are high net worth individuals. SECU BROKERAGE SERVICES has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SECU BROKERAGE SERVICES are registered to handle securities or provide financial advice. The firm has 7 disclosures, 7 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SECU BROKERAGE SERVICES‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SECU BROKERAGE SERVICES. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SECU BROKERAGE SERVICES Comes From
Understanding the Statistics for SECU BROKERAGE SERVICES and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
801 Hillsborough Street 3rd Floor, Raleigh, NC 27603
P.o. Box 26807, Raleigh, NC 27611-6807
Medium
(800) 451-5467
North Carolina since 04/17/2008
Corporation
June
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at SECU BROKERAGE SERVICES
Joycelyn Yvette White Stokes
Peter Boyette Simms
William Jordan Barefoot
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