Keith E. Abbott

AEL FINANCIAL SERVICES

Charlotte, NC 28211

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CRD#: 2973542

Professional summary

Keith Everett Abbott is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1998. Keith has worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 Keith Everett Abbott'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

November 16, 2023 - Present

AEL FINANCIAL SERVICES, LLC

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

CRD#: 300285

Charlotte, NC

Past

July 22, 2021 - October 5, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

May 24, 2019 - December 6, 2019

FOREST SECURITIES,INC.

CRD#: 16255

HILLSIDE, IL

Past

November 30, 2018 - February 20, 2019

PACER FINANCIAL, INC.

CRD#: 137040

MALVERN, PA

Past

October 10, 2018 - December 4, 2018

FOREST SECURITIES,INC.

CRD#: 16255

HILLSIDE, IL

Past

October 3, 2015 - January 2, 2018

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

November 5, 2014 - March 6, 2015

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

FT. LAUDERDALE, FL

Past

October 30, 2013 - October 15, 2014

SYMETRA SECURITIES, INC.

CRD#: 739

BELLEVUE, WA

Past

August 29, 2006 - August 13, 2013

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

April 1, 2006 - August 3, 2006

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

July 20, 2001 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

February 14, 2000 - June 14, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 4, 1999 - December 31, 1999

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

January 14, 1998 - August 25, 1999

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

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

Florida
(1/3/2024)

Exams

State Security Law Exam

Series 63

Date: 11/14/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/12/1998

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

Keith E. Abbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Everett Abbott's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

FOREST SECURITIES,INC.

PACER FINANCIAL, INC.

FOREST SECURITIES,INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BB&T INVESTMENT SERVICES, INC.

SYMETRA SECURITIES, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

TOWER SQUARE SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

TOWER SQUARE SECURITIES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2015

SIE

Date: 1/2/2018

Series 6

Date: 1/12/1998

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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