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BU

Bron D. Urbanick

AEL FINANCIAL SERVICES
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 1448726
BU

Professional summary

Bron Douglas Urbanick, who also goes by Bron Douglas Urbanick, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Bron is registered as a RR (Registered Representative) and started their career in finance in 1987. Bron has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bron Douglas Urbanick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bron Douglas Urbanick's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 17, 2024 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 2101 Rexford Road Suite 310, Charlotte, NC 28211
BD
CRD#: 300285
Charlotte, NC
Past

March 14, 2022 - June 14, 2023

PREFERRED CAPITAL SECURITIES, LLC

BD
CRD#: 169719
ATLANTA, GA
Past

October 8, 2019 - February 25, 2022

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

February 4, 2016 - June 3, 2019

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

February 16, 2015 - February 8, 2016

CR CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 171776
NEWPORT BEACH, CA
Past

January 19, 2011 - December 2, 2014

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

February 25, 2008 - January 3, 2011

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

March 27, 1998 - February 6, 2008

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

June 5, 1997 - February 11, 1998

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

July 20, 1995 - February 28, 1997

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 10, 1995 - July 7, 1995

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

November 25, 1991 - January 9, 1995

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

October 20, 1987 - October 1, 1991

CLAYTON BROWN & ASSOCIATES, INC.

BD
CRD#: 3664
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(3/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/12/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AEL FINANCIAL SERVICES, LLC
AEL FINANCIAL SERVICES, LLC | LOCKTON CAPITAL, LLC | LOCKTON CAPITAL MARKETS | LOCKTON CAPITAL ADVISORS, LLC

CRD#: 300285 / SEC#: , 8-70298

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Mailing Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Phone number
(515) 443-3527
Established
North Carolina since 07/13/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (37 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NC SECURITIES HOLDCO, LLCPARENT CO
ALBERTI, GREGORY MICHAELPRINCIPAL/VICE PRESIDENT5023476
BAILEY, ELIZABETH EILEENCOO/CCO4154255
HAYES, SUSAN ANNCFO/FINOP2856326

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AEL FINANCIAL SERVICES, LLC

CRD#: 300285Charlotte, NC 28211

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