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JF

James A. Foster

AEL FINANCIAL SERVICES
Des Moines, IA 50391
Some features on this profile are disabled
CRD#: 2348933
JF

Professional summary

James A Foster, who also goes by James Aiva Foster III, James Alva Foster III, James Alva Foster, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Des Moines, Iowa.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Aiva Foster Iii | James Alva Foster Iii | James Alva Foster

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 James A Foster'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

October 30, 2023 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 1150 Locust Street, Des Moines, IA 50391
BD
CRD#: 300285
Des Moines, IA
Past

February 8, 2019 - April 10, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

May 24, 2010 - November 29, 2021

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

December 9, 2005 - May 7, 2010

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

November 10, 2003 - December 9, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
HOUSTON, TX
Past

May 9, 2001 - December 9, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 17, 2000 - November 20, 2000

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

June 28, 1993 - August 3, 2000

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

June 25, 1993 - November 1, 1994

LUX INVESTOR SERVICES CORPORATION

BD
CRD#: 18424

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
Florida
(1/4/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/7/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/22/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 300285Des Moines, IA 50391

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