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TA

Travis N. Allan

AEL FINANCIAL SERVICES
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 2888016
TA

Professional summary

Travis Neil Allan, CFP®, who also goes by Travis N Allan, Travis Allan, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Travis is registered as a RR (Registered Representative) and started their career in finance in 1997. Travis has worked at 13 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Travis N Allan | Travis Allan

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 Travis Neil Allan'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®
CFP®

Certified Financial Planner

Experience

Current

December 15, 2023 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 2101 Rexford Road Suite 310, Charlotte, NC 28211
BD
CRD#: 300285
Charlotte, NC
Past

January 5, 2023 - October 5, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

August 26, 2020 - January 5, 2021

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
URBANDALE, IA
Past

March 11, 2016 - December 14, 2018

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
Roseville, CA
Past

December 18, 2015 - December 14, 2018

BBVA SECURITIES INC.

BD
CRD#: 27060
TRACY, CA
Past

October 1, 2012 - September 23, 2015

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
BEND, OR
Past

October 1, 2012 - September 23, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BEND, OR
Past

August 9, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PRINEVILLE, OR
Past

August 5, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PRINEVILLE, OR
Past

May 4, 2005 - April 27, 2010

SOUTH VALLEY WEALTH MANAGEMENT

RIA
CRD#: 14797
BEND, OR
Past

April 29, 2005 - April 27, 2010

SOUTH VALLEY WEALTH MANAGEMENT

BD
CRD#: 14797
BEND, OR
Past

February 14, 2003 - May 4, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

January 29, 2003 - May 4, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BEND, OR
Past

June 1, 2001 - July 12, 2002

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

July 6, 1998 - September 4, 2001

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

March 2, 1998 - July 7, 1998

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

June 30, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600

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
Oregon
(3/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/4/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2023
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 300285Charlotte, NC 28211

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