Taunie F. Uhlenhake

AEL FINANCIAL SERVICES

West Des Moines, IA 50266

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CRD#: 4940216

Professional summary

Taunie Faye Uhlenhake, who also goes by Taunie Faye Jorgensen, Tawnie Faye Jorgensen, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in West Des Moines, Iowa.

Taunie is registered as a RR (Registered Representative) and started their career in finance in 2005. Taunie has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Taunie Faye Jorgensen | Tawnie Faye Jorgensen

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.

***PROFOUND PHOTO; PHOTOGRAPHY BUSINESS; OWNER, PHOTOGRAPHER, EDITOR; LOCATED AT HOME ADDRESS; NOT INVESTMENT RELATED; 10 HRS PER WEEK; 0 DURING TRADING HRS; START DATE 6/1/2011. ***RODAN & FIELDS, INDEPENDENT CONSULTANT, 7210 MAPLE DR, DES MOINES IOWA. SKIN CARE SOLUTIONS, NOT INVESTMENT RELATED. 4 HOURS PER WEEK, NONE DURING TRADING HOURS. START DATE 11/15/15.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Taunie Faye Uhlenhake'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: 5550 Wild Rose Lane Suite 200, West Des Moines, IA 50266

CRD#: 300285

West Des Moines, IA

Past

February 26, 2009 - January 26, 2017

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

December 18, 2008 - October 4, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

July 6, 2005 - October 4, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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

Iowa
(12/1/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/2005

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

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Taunie F. Uhlenhake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Taunie Faye Uhlenhake's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEL FINANCIAL SERVICES, LLC

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2008

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2007

Series 6

Date: 7/5/2005

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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