Christopher P. Carey

AEL FINANCIAL SERVICES

Charlotte, NC 28211

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CRD#: 2390968

Professional summary

Christopher Paul Carey, who also goes by Chris Carey, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Carey

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 Christopher Paul Carey'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: 2101 Rexford Road Suite 310, Charlotte, NC 28211

CRD#: 300285

Charlotte, NC

Past

June 15, 2021 - October 5, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

May 21, 2019 - April 10, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 23, 2019 - April 2, 2021

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

February 4, 2017 - April 10, 2019

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

September 11, 2007 - July 7, 2016

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

WOODLAND HILLS, CA

Past

September 23, 2005 - September 4, 2007

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

December 9, 1993 - September 19, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

State Registrations and Notice Filings

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

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

Iowa
(10/30/2023)

Massachusetts
(1/3/2024)

Minnesota
(3/5/2024)

New York
(10/30/2023)

North Carolina
(10/30/2023)

Pennsylvania
(11/6/2023)

Rhode Island
(10/30/2023)

Exams

State Security Law Exam

Series 63

Date: 10/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AEL FINANCIAL SERVICES, LLC

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

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
NC SECURITIES HOLDCO, LLC	PARENT CO
ALBERTI, GREGORY MICHAEL	PRINCIPAL/VICE PRESIDENT	5023476
BAILEY, ELIZABETH EILEEN	COO/CCO	4154255
HAYES, SUSAN ANN	CFO/FINOP	2856326

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.

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Advisor Monitoring

Firm Stability Insights

Christopher P. Carey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Paul Carey's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

EMPOWER FINANCIAL SERVICES, INC.

COREBRIDGE CAPITAL SERVICES, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2001

Series 6

Date: 12/8/1993

Series 24

Date: 3/18/2013

FINRA

Current Firm

AEL FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (37 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AEL FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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