Individual Firm
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CRYSTAL DEAL WHITE
CRYSTAL DAWN DEAL
CRD#: 4722672
IA
B
CREDIT UNION INVESTMENT SERVICESCRD#: 144871 160 SAVANNAH GARDEN DRIVE
CARTHAGE, NC 28327
CARTHAGE, NC 28327
SECU BROKERAGE SERVICESCRD#: 19899 160 SAVANNAH GARDEN DRIVE
CARTHAGE, NC 28327
CARTHAGE, NC 28327
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2/16/2016
Customer Dispute
Settled
State Registrations
B
North Carolina 12/7/2006
IA
North Carolina 10/4/2007
SRO Registrations
B
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IA
Registered with this firm since 10/4/2007
B
Registered with this firm since 12/7/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/02/2007 - 10/04/2007 | SOUTHERN PINES, NC | |
B | 02/03/2004 - 04/21/2006 | RALEIGH, NC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.