Gary D. Bondy

AEL FINANCIAL SERVICES

Charlotte, NC 28211

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CRD#: 4528774

Professional summary

Gary David Eugene Bondy, who also goes by Gary David Eugene Bondy Jr., is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.

Gary is registered as a RR (Registered Representative) and started their career in finance in 2002. Gary has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gary David Eugene Bondy Jr.

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.

Eagle Life; Not investment related; 6000 Westown Parkway, West Des Moines, Iowa 50266; Sales, External Wholesaler; Started 12/1/2018; 160 hours per month, 160 during trading hours; Work with advisors to educate on Eagle Life products.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary David Eugene Bondy'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 1, 2023 - Present

AEL FINANCIAL SERVICES, LLC

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

CRD#: 300285

Charlotte, NC

Past

July 22, 2020 - November 10, 2023

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

West Des Moines, IA

Past

July 21, 2020 - November 10, 2023

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

West Des Moines, IA

Past

September 2, 2016 - December 13, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

FISHERS, IN

Past

September 1, 2016 - December 13, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

August 14, 2014 - September 6, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

COLUMBUS, OH

Past

May 13, 2014 - September 6, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

COLUMBUS, OH

Past

July 24, 2002 - January 9, 2013

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

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

Ohio
(12/7/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/22/2002

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

Gary D. Bondy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary David Eugene Bondy's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2014

Series 63

Date: 8/8/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2015

Series 6

Date: 7/22/2002

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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