Stacy L. Mercer

AEL FINANCIAL SERVICES

West Des Moines, IA 50266

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CRD#: 2729221

Professional summary

Stacy Lynn Mercer, who also goes by Stacy Lynn Bodish, Stacy Bodish, Stacy Lynn Ronek, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in West Des Moines, Iowa.

Stacy is registered as a RR (Registered Representative) and started their career in finance in 1997. Stacy has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stacy Lynn Bodish | Stacy Bodish | Stacy Lynn Ronek

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 Stacy Lynn Mercer'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

March 25, 2025 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 5550 Wild Rose Lane Suite 200, West Des Moines, IA 50266

CRD#: 300285

West Des Moines, IA

Past

May 21, 2024 - March 7, 2025

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 15, 2021 - December 14, 2022

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Des Moines, IA

Past

October 27, 2016 - November 12, 2019

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

March 6, 2012 - October 28, 2016

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

October 31, 2000 - October 25, 2006

DIRECTED SERVICES LLC

CRD#: 21675

DES MOINES, IA

Past

September 19, 1997 - February 3, 1999

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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
(3/25/2025)

Exams

State Security Law Exam

Series 63

Date: 4/9/2012

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: 4/2/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/5/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/2018

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

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

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Stacy L. Mercer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stacy Lynn Mercer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC SELECT DISTRIBUTORS, LLC

INTEGRITY ALLIANCE, LLC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

SAMMONS FINANCIAL NETWORK, LLC

DIRECTED SERVICES LLC

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2018

Series 6

Date: 3/5/2012

Series 24

Date: 5/21/2018

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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