Service Provider Due Diligence
Service Provider Management Documents For Southeast Corporate
NCUA's Rules and Regulations, Part 748, Appendix A requires credit unions to exercise appropriate due diligence in selecting its service providers and to require service providers to implement appropriate security measures. To assist our members in performing the required due diligence on Southeast Corporate we have provided the following resources:
Series 7 certificates
All our material information is housed at FINRA in their CRD (Central Registration Depository). Below is a link to FINRA BrokerCheck which allows public access to the available information. Information provided for Michael Alexandre and Tanya DeVlieger
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
