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TB

Travis C. Berg

AEL FINANCIAL SERVICES
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 3065790
TB

Professional summary

Travis Cooper Berg 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 1998. Travis has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
LAKESIDE COUNTRY CLUB POSITION: Director NATURE: Board of Directors, I was nominated for a position to serve a 3 year term. Election will be held on 9/2 and if elected I would start the 3 year term on 10/20. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/20/2020 ADDRESS: 100 Wilcrest, Houston TX 77024, United States DESCRIPTION: Meetings monthly to discuss club business.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Travis Cooper Berg'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

September 4, 2025 - Present

AEL FINANCIAL SERVICES, LLC

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

November 18, 2013 - August 16, 2021

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
HOUSTON, TX
Past

March 6, 2007 - December 23, 2024

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
HOUSTON, TX
Past

January 24, 2007 - December 23, 2024

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

September 21, 2004 - January 4, 2007

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
SAN FRANCISCO, CA
Past

February 18, 2003 - July 30, 2004

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

July 2, 1999 - March 4, 2003

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
HOUSTON, TX
Past

June 30, 1999 - March 4, 2003

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

September 25, 1998 - June 9, 1999

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

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
Louisiana
(9/4/2025)
RR
Mississippi
(9/4/2025)
RR
Texas
(9/4/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/21/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 11/21/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/4/2003
Investment Company Products/Variable Contracts 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)
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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)

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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