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BH

Brian M. Hait

AEL FINANCIAL SERVICES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5356818
BH

Professional summary

Brian Michael Hait, who also goes by Brian M Hait, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in West Des Moines, Iowa.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian M Hait

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.
**HAIT FAMILY LIMOUSIN. CARLISLE, IA. 12/1996 - CURRENT. 15 HRS/WEEK. RAISES CATTLE FOR THE SALE BARN/OTHER FARMERS. CLIPPING/FITTING FOR SHOW CATTLE. ONLINE CATTLE MARKETING. ***Iowa Limousin Association; Not Investment Related; 1820 180th St, Garner, IA 50438; President; Promotion of Limousin cattle in Iowa and surrounding states; Start Date: 11/18/2017; 0 hrs per month; 0 during trading hours. IOWA LIMOUSIN ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/18/2017 ADDRESS: 1820 180th St, Garner IA 50438, United States DESCRIPTION: Promotion of Limousin cattle in Iowa and surrounding states

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Michael Hait'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

January 12, 2024 - 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

November 10, 2009 - April 24, 2015

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

January 3, 2008 - December 5, 2023

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DES MOINES, IA
Past

October 29, 2007 - December 5, 2023

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

August 20, 2007 - September 26, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CLIVE, IA

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
(1/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/26/2007
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: 8/18/2007
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#: 300285West Des Moines, IA 50266

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