AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EB

Elizabeth E. Bailey

AEL FINANCIAL SERVICES
New York, NY 10036
Some features on this profile are disabled
CRD#: 4154255
EB

Professional summary

Elizabeth Eileen Bailey, who also goes by Elizabeth Eileen Thompson, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in New York, New York.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2000. Elizabeth has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Eileen Thompson

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 Elizabeth Eileen Bailey'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

December 20, 2019 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 1155 Avenue Of The Americas Suite 35th Floor, New York, NY 10036
BD
CRD#: 300285
New York, NY
Past

January 23, 2018 - November 29, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 18, 2015 - October 20, 2015

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
NEW YORK, NY
Past

June 20, 2000 - January 5, 2018

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY

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
Arizona
(5/21/2024)
RR
Arkansas
(5/21/2024)
RR
California
(5/21/2024)
RR
Colorado
(5/21/2024)
RR
Connecticut
(5/21/2024)
RR
Delaware
(5/21/2024)
RR
District of Columbia
(5/21/2024)
RR
Florida
(5/21/2024)
RR
Georgia
(5/21/2024)
RR
Illinois
(5/21/2024)
RR
Indiana
(8/15/2025)
RR
Iowa
(5/21/2024)
RR
Kentucky
(5/21/2024)
RR
Louisiana
(5/21/2024)
RR
Maryland
(5/21/2024)
RR
Massachusetts
(1/3/2024)
RR
Michigan
(5/21/2024)
RR
Minnesota
(5/21/2024)
RR
Mississippi
(5/21/2024)
RR
Missouri
(5/21/2024)
RR
Montana
(5/21/2024)
RR
Nebraska
(5/21/2024)
RR
New Jersey
(5/21/2024)
RR
New York
(8/10/2023)
RR
North Carolina
(8/10/2023)
RR
North Dakota
(7/19/2024)
RR
Ohio
(5/22/2024)
RR
Oregon
(5/21/2024)
RR
Pennsylvania
(5/21/2024)
RR
Rhode Island
(5/21/2024)
RR
South Carolina
(5/21/2024)
RR
Texas
(5/21/2024)
RR
Utah
(5/21/2024)
RR
Virginia
(5/21/2024)
RR
Wisconsin
(5/21/2024)
RR
Wyoming
(9/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/18/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/4/2000
General Securities Sales Supervisor - Options Module 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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#: 300285New York, NY 10036

TRUST BUT VERIFY

Monitor Elizabeth Bailey

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics