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MS

Matthew D. Schober

AEL FINANCIAL SERVICES
Des Moines, IA 50391
Some features on this profile are disabled
CRD#: 4611621
MS

Professional summary

Matthew Douglas Schober, who also goes by Matt Schober, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Des Moines, Iowa.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2003. Matthew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Schober

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 Matthew Douglas Schober'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

June 17, 2025 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 1150 Locust Street, Des Moines, IA 50391
BD
CRD#: 300285
Des Moines, IA
Past

August 5, 2022 - June 21, 2024

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
LOUISVILLE, KY
Past

November 25, 2019 - August 3, 2022

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

April 21, 2016 - November 6, 2019

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SPRINGFIELD, IL
Past

February 26, 2016 - November 6, 2019

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SPRINGFIELD, IL
Past

May 14, 2015 - January 11, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
NASHVILLE, TN
Past

March 18, 2014 - June 30, 2014

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
FARMINGTON HILLS, MI
Past

June 21, 2011 - December 31, 2013

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

October 20, 2003 - May 5, 2006

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

January 2, 2003 - October 20, 2003

ALFS, INC.

BD
CRD#: 32201
NORTHBROOK, IL

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
Indiana
(8/29/2025)
RR
Iowa
(6/17/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/2011
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: 9/12/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/20/2011
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/16/2014
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/6/2014
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)
PREMIUM
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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#: 300285Des Moines, IA 50391

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