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AC

Adam A. Christy

AEL FINANCIAL SERVICES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 4784697
AC

Professional summary

Adam Alva Christy is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in West Des Moines, Iowa.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2004. Adam has worked at 6 firms and has passed the Series 66, SIE, Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Alva Christy'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

October 26, 2023 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 5550 Wild Rose Lane Suite 200, West Des Moines, IA 50266
BD
CRD#: 300285
West Des Moines, IA
Past

May 12, 2021 - October 5, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

November 10, 2009 - April 24, 2015

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

July 7, 2005 - March 26, 2021

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DES MOINES, IA
Past

June 24, 2005 - March 26, 2021

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

September 23, 2004 - May 7, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WEST DES MOINES, IA
Past

September 21, 2004 - May 7, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 21, 2004 - May 7, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Iowa
(10/26/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2004
Uniform Combined 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: 9/20/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/4/2023
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#: 300285West Des Moines, IA 50266

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