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DW

Daniel L. Wiford

AEL FINANCIAL SERVICES
League City, TX 77573
Some features on this profile are disabled
CRD#: 2503115
DW

Professional summary

Daniel Louis Wiford Jr, who also goes by Dan Wiford Jr, Dan Wiford, Daniel Louis Wiford Jr, Daniel Wiford, Daniel Louis Wiford, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in League City, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Wiford Jr | Dan Wiford | Daniel Louis Wiford Jr | Daniel Wiford | Daniel Louis Wiford

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 Daniel Louis Wiford Jr'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

April 2, 2026 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 2525 South Shore Blvd., League City, TX 77573
BD
CRD#: 300285
League City, TX
Past

November 7, 2025 - January 27, 2026

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

March 21, 2024 - October 30, 2025

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Marengo, OH
Past

March 21, 2024 - October 30, 2025

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

November 5, 2021 - March 14, 2024

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
Cincinnati, OH
Past

November 4, 2021 - March 14, 2024

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Cincinnati, OH
Past

December 10, 2019 - November 1, 2021

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

December 10, 2019 - November 1, 2021

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

August 1, 2008 - December 31, 2019

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

March 10, 2008 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA
CRD#: 4082
DUBLIN, OH
Past

November 20, 2007 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
DUBLIN, OH
Past

November 20, 2007 - December 31, 2019

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

August 31, 2000 - November 16, 2007

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
DUBLIN, OH
Past

August 17, 1998 - December 31, 2000

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

August 7, 1996 - June 25, 1998

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

September 7, 1994 - July 16, 1996

SCOTTRADE, INC.

BD
CRD#: 8206
ST. LOUIS, MO

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
Ohio
(4/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/15/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/20/2001
Investment Company Products/Variable Contracts Principal 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#: 300285League City, TX 77573

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