Brian M. Cowhey

AEL FINANCIAL SERVICES

Charlotte, NC 28211

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CRD#: 2756431

Professional summary

Brian Michael Cowhey, who also goes by Brian Michael Cowhey, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Michael Cowhey

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 Brian Michael Cowhey'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 16, 2025 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 2101 Rexford Road Suite 310, Charlotte, NC 28211

CRD#: 300285

Charlotte, NC

Past

January 24, 2025 - April 2, 2025

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 16, 2022 - January 24, 2025

OSAIC FS, INC.

CRD#: 3870

RADNOR, PA

Past

December 16, 2022 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

RADNOR, PA

Past

May 8, 2015 - June 10, 2022

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

October 29, 2012 - July 22, 2013

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WEST PALM BEACH, FL

Past

July 4, 2012 - October 30, 2012

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

October 12, 2007 - June 30, 2010

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

CHICAGO, IL

Past

July 2, 2007 - September 11, 2007

KBR CAPITAL MARKETS, LLC

CRD#: 128800

PALO ALTO, CA

Past

August 16, 2006 - July 12, 2007

GCC-PROSPECT CORPORATION

CRD#: 124728

FAIRFAX, VA

Past

August 22, 2002 - November 10, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

July 16, 2001 - May 22, 2002

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

July 9, 1999 - May 11, 2001

FIRST VARIABLE CAPITAL SERVICES, INC.

CRD#: 30007

BIRMINGHAM, AL

Past

June 10, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 10, 1996 - October 29, 1998

SIGNATOR INVESTORS, INC.

CRD#: 468

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

Illinois
(6/16/2025)

Wisconsin
(6/16/2025)

Exams

State Security Law Exam

Series 63

Date: 6/24/1996

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: 5/18/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/1996

Investment Company Products/Variable Contracts Representative 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

Brian M. Cowhey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Michael Cowhey's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FS, INC.

OSAIC FA, INC.

OSAIC FA, INC.

QUESTAR CAPITAL CORPORATION

ESSEX SECURITIES LLC

PACIFIC SELECT DISTRIBUTORS, LLC

KBR CAPITAL MARKETS, LLC

GCC-PROSPECT CORPORATION

FIDELITY BROKERAGE SERVICES LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

FIRST VARIABLE CAPITAL SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2004

Series 6

Date: 6/7/1996

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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