Geoffrey T. Gibson

AEL FINANCIAL SERVICES

Charlotte, NC 28211

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CRD#: 2922075

Professional summary

Geoffrey T Gibson, who also goes by Geoffrey Todd Gibson, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 1999. Geoffrey has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Geoffrey Todd Gibson

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 Geoffrey T Gibson'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

January 26, 2024 - Present

AEL FINANCIAL SERVICES, LLC

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

CRD#: 300285

Charlotte, NC

Past

June 6, 2022 - October 5, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

October 10, 2018 - December 21, 2020

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

September 7, 2017 - October 1, 2018

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

July 14, 2010 - August 7, 2017

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 29, 2008 - November 10, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 107038

NEW YORK, NY

Past

September 22, 2008 - April 5, 2010

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

April 27, 2007 - May 20, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

June 18, 2002 - May 1, 2007

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

April 6, 2001 - May 8, 2002

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

January 29, 1999 - February 23, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Arizona
(2/6/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/23/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/28/1999

General Securities 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

Geoffrey T. Gibson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Geoffrey T Gibson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

ICON DISTRIBUTORS, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

J.P. MORGAN INVESTMENT MANAGEMENT INC.

JPMORGAN DISTRIBUTION SERVICES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

ALLIANZ LIFE FINANCIAL SERVICES, LLC

COREBRIDGE CAPITAL SERVICES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2009

Series 63

Date: 2/10/1999

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 2/23/1999

Series 7

Date: 1/28/1999

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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