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Investment Adviser Firm Summary

AE WEALTH MANAGEMENT, LLC (CRD# 282580 / SEC# 801-107319)
Alternate Names: AE WEALTH MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/17/2016

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/14/2016
Alaska 05/02/2016
Arizona 04/13/2016
Arkansas 04/13/2016
California 03/29/2016
Colorado 04/13/2016
Connecticut 03/30/2017
Delaware 01/30/2018
District of Columbia 03/30/2017
Florida 04/20/2016
Georgia 05/02/2016
Hawaii 11/01/2017
Idaho 04/20/2016
Illinois 04/29/2016
Indiana 04/20/2016
Iowa 08/18/2016
Kansas 02/17/2016
Kentucky 08/18/2016
Louisiana 03/29/2016
Maine 12/19/2016
Maryland 06/08/2016
Massachusetts 05/02/2016
Michigan 04/20/2016
Minnesota 07/12/2016
Mississippi 07/01/2016
Missouri 04/13/2016
Montana 03/30/2017
Nebraska 03/30/2017
Nevada 11/07/2016
New Hampshire 11/01/2017
New Jersey 05/02/2016
New Mexico 04/13/2016
New York 07/26/2016
North Carolina 05/02/2016
North Dakota 03/30/2018
Ohio 04/20/2016
Oklahoma 04/13/2016
Oregon 03/29/2016
Pennsylvania 07/01/2016
Rhode Island 03/05/2018
South Carolina 05/02/2016
South Dakota 05/11/2016
Tennessee 04/13/2016
Texas 04/13/2016
Utah 04/12/2016
Vermont 02/16/2017
Virginia 04/13/2016
Washington 04/13/2016
West Virginia 07/12/2016
Wisconsin 05/02/2016
Wyoming 11/01/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser