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Detailed Report
KEVIN DURRELLE HAGGARD
KEVIN DURRELLE HAGGARD SR, KEVIN HAGGARD, Kevin D Haggard
CRD#: 2531072
IA
Investment Adviser
B
Broker
CREDIT UNION INVESTMENT SERVICESCRD#: 144871 9007 Pineville-Matthews Rd
Pineville, NC 28134
SECU BROKERAGE SERVICESCRD#: 19899 9007 PINEVILLE-MATTHEWS RD
PINEVILLE, NC 28134
Registration History
19952000200520102015202020252 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - 2022 (3 years)2 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2011 (1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2006 - 2008 (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2006 (1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2004 - 2005 (1 year)BSENTRY EQUITY SERVICES, INC. (CRD# 5069)1995 - 1995 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1994 - 1994 (<1 year)
Disclosure(s)
View By:
5/20/2009
Customer Dispute
Denied
License(s)

State Registrations

B
North Carolina 10/29/2024
IA
North Carolina 10/29/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CREDIT UNION INVESTMENT SERVICES (CRD#:144871)
9007 Pineville-Matthews Rd, Pineville, NC 28134
Registered with this firm since 10/29/2024
B
SECU BROKERAGE SERVICES (CRD#:19899)
9007 PINEVILLE-MATTHEWS RD, PINEVILLE, NC 28134
Registered with this firm since 10/29/2024
Previous Registration(s)
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IA
 10/04/2022 - 06/11/2024 WELLS FARGO ADVISORS (CRD#:19616) CHARLOTTE, NC
B
 09/23/2022 - 06/11/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
IA
 12/21/2018 - 08/10/2022 AVANTAX ADVISORY SERVICES (CRD#:104556) Louisville, KY
B
 12/25/2018 - 08/10/2022 AVANTAX INVESTMENT SERVICES, INC. (CRD#:13686) Louisville, KY
IA
 01/23/2017 - 02/08/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) LOUISVILLE, KY
B
 01/03/2017 - 02/08/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) LOUISVILLE, KY
IA
 10/14/2014 - 11/01/2016 H.D. VEST ADVISORY SERVICES, INC (CRD#:104556) LOUISVILLE, KY
B
 10/14/2014 - 11/01/2016 HD VEST INVESTMENT SERVICES (CRD#:13686) Louisville, KY
IA
 07/25/2013 - 03/28/2014 FIFTH THIRD SECURITIES, INC. (CRD#:628) LOUISVILLE, KY
B
 07/25/2013 - 03/28/2014 FIFTH THIRD SECURITIES, INC. (CRD#:628) LOUISVILLE, KY
IA
 07/16/2012 - 03/01/2013 EDWARD JONES (CRD#:250) LOUISVILLE, KY
B
 07/16/2012 - 03/01/2013 EDWARD JONES (CRD#:250) LOUISVILLE, KY
IA
 09/26/2011 - 06/28/2012 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) CARMEL, IN
B
 09/26/2011 - 06/28/2012 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) CARMEL, IN
B
 11/12/2009 - 10/03/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CRESTWOOD, KY
B
 10/05/2006 - 11/05/2008 NYLIFE SECURITIES LLC (CRD#:5167) LOUISVILLE, KY
B
 07/06/2005 - 07/25/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LOUISVILLE, KY
B
 04/30/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 02/21/1995 - 08/14/1995 SENTRY EQUITY SERVICES, INC. (CRD#:5069) STEVENS POINT, WI
B
 09/07/1994 - 12/21/1994 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.