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AS

Andrew J. Strauss

AEL FINANCIAL SERVICES
League City, TX 77573
CRD#: 2705902
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AS
Andrew John StraussAEL FINANCIAL SERVICES

Professional summary

Andrew John Strauss is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in League City, Texas.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 10 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Andrew John Strauss'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

June 9, 2026 - Present

AEL FINANCIAL SERVICES, LLC

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

January 25, 2024 - January 27, 2026

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

January 6, 2020 - November 28, 2023

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

December 26, 2019 - November 28, 2023

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

November 27, 2019 - January 14, 2020

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

February 24, 2010 - February 5, 2019

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

August 1, 2008 - January 14, 2020

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

April 23, 2007 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
MARSHALL, MI
Past

October 23, 2001 - August 31, 2007

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
MARSHALL, MI
Past

August 25, 2000 - September 10, 2001

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

October 6, 1999 - August 24, 2000

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

July 16, 1997 - August 24, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

February 13, 1996 - March 13, 1996

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 13, 1996 - March 13, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/22/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/25/2024
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: 2/12/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/2012
General Securities 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)

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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