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RP

Robert E. Perry

AEL FINANCIAL SERVICES
Des Moines, IA 50391
Some features on this profile are disabled
CRD#: 4964810
RP

Professional summary

Robert Edwin Perry, who also goes by Robert Perry, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Des Moines, Iowa.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Perry

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 Robert Edwin Perry'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

April 17, 2026 - Present

AEL FINANCIAL SERVICES, LLC

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

July 3, 2019 - March 27, 2026

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
BONITA SPRINGS, FL
Past

April 25, 2019 - March 27, 2026

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
BONITA SPRINGS, FL
Past

August 19, 2016 - March 4, 2019

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
TAMPA, FL
Past

May 12, 2016 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
TAMPA, FL
Past

May 11, 2016 - March 4, 2019

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
TAMPA, FL
Past

October 3, 2007 - May 19, 2016

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LAKELAND, FL
Past

February 9, 2007 - May 19, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LAKELAND, FL

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
Florida
(4/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2007
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: 2/8/2007
General Securities Representative 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#: 300285Des Moines, IA 50391

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