AE WEALTH MANAGEMENT, LLC of TOPEKA, KS is an SEC-registered investment adviser (CRD 282580). Regulatory assets under management: $49.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Shawn Michael Scholz | CHIEF COMPLIANCE OFFICER | — |
| David James Callanan | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER; TRUSTEE | — |
| Christopher Blake Radford | PRESIDENT | — |
| David Robb Wolfe | GENERAL COUNSEL AND SECRETARY | — |
| Cody Grant Foster | OWNER; TRUSTEE | — |
| Amy Michelle Klotz | CHIEF FINANCIAL OFFICER | — |
| Michael Earl Miller | CHIEF OPERATIONS OFFICER | — |
| RADFORD CHRISTOPHER BLAKE | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| MILLER BERT EARL | CHIEF OPERATIONS OFFICER | — |
| THOMPSON ROGER MARTIN JAMES | OWNER; TRUSTEE | — |
| HEENEY JAMES MICHEAL | CHIEF OPERATING OFFICER | — |
| CALLANAN DAVID JAMES | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER; PRESIDENT (+1 more) | — |
| SCHILLING NICHOLAS PAUL | CHIEF DISTRIBUTION OFFICER; VICE PRESIDENT OF MARKETING | — |
| WOLFE DAVID ROBB | GENERAL COUNSEL; GENERAL COUNSEL AND SECRETARY | — |
| FOSTER CODY GRANT | OWNER; TRUSTEE | — |
| CROOK CALEB DEAN | CHIEF COMPLIANCE OFFICER | — |
| BACH DAVID LOUIS | LLC MEMBER | — |
| STARKMAN KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | — |
| Klotz Amy Michelle | CHIEF FINANCIAL OFFICER | — |
| Scholz Shawn Michael | CHIEF COMPLIANCE OFFICER | — |
| Shannon Marie Larson | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-04-30 | regulatory | THE COMMISSION ALLEGED THAT CORNERSTONE WEALTH MANAGEMENT, NATHANIEL BARNHART, LISA BARNHART, AE WEALTH MANAGEMENT, LLC, DAVID CALLANAN, CHRISTOPHER COX, BETH COX, WILLIAM ANDY SMITH, KIMBERLY SMITH AND SMITH & COX, LLC ("RESPONDENTS"), VIOLATED THE ARIZONA SECURITIES ACT BY FAILING TO DISCLOSE A 20… | Final | $150K |
| — | regulatory | — | — | — |