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CHRISTOPHER BLAKE RADFORD
CRD#: 1564302
IA
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AE WEALTH MANAGEMENT, LLCCRD#: 282580 2950 SW McClure Rd
Ste B
Topeka, KS 66614
Ste B
Topeka, KS 66614
AE FINANCIAL SERVICES, LLCCRD#: 298608 2950 SW McClure Rd
Ste B
Topeka, KS 66614
Ste B
Topeka, KS 66614
View By:
12/8/2017
Customer Dispute
Settled
State Registrations
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Alabama 4/15/2021
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Montana 2/14/2023
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Alaska 2/15/2023
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Nebraska 2/7/2023
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Arizona 4/9/2020
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Nevada 4/9/2020
B
Arkansas 4/8/2020
B
New Hampshire 4/22/2020
B
California 3/20/2020
B
New Jersey 2/8/2023
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Colorado 4/24/2020
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New Mexico 6/17/2020
B
Connecticut 4/27/2021
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New York 4/6/2020
B
Delaware 2/17/2023
B
North Carolina 3/27/2020
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District of Columbia 4/15/2020
B
North Dakota 2/14/2023
B
Florida 7/9/2020
B
Ohio 4/1/2020
B
Georgia 4/8/2020
B
Oklahoma 2/8/2023
B
Hawaii 7/17/2023
B
Oregon 4/6/2020
B
Idaho 4/1/2020
B
Pennsylvania 2/8/2023
B
Illinois 5/4/2020
B
Rhode Island 4/14/2020
B
Indiana 2/7/2023
B
South Carolina 4/15/2020
B
Iowa 4/2/2020
B
South Dakota 2/8/2023
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Kansas 3/15/2018
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Tennessee 4/27/2020
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Kansas 2/20/2020
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Texas 4/17/2020
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Kentucky 2/7/2023
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Texas 9/28/2020
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Louisiana 4/6/2020
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Utah 4/7/2020
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Maine 4/23/2020
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Vermont 6/23/2022
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Maryland 4/6/2020
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Virginia 4/20/2020
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Massachusetts 6/4/2020
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Washington 4/10/2020
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Michigan 4/24/2020
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West Virginia 2/9/2023
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Minnesota 2/8/2023
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Wisconsin 4/2/2020
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Mississippi 2/9/2023
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Wyoming 2/9/2023
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Missouri 6/22/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 3/15/2018
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Registered with this firm since 10/11/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/19/2018 - 08/07/2018 | Topeka, KS | |
IA | 07/01/2016 - 01/31/2018 | Huntington Beach, CA | |
IA | 03/13/2017 - 01/04/2018 | Tampa, FL | |
IA | 08/15/2013 - 12/07/2017 | TAMPA, FL | |
B | 08/14/2013 - 12/07/2017 | TAMPA, FL | |
IA | 03/22/2016 - 12/01/2016 | HUNTINGTON BEACH, CA | |
B | 01/31/2014 - 02/28/2014 | INDIANAPOLIS, IN | |
IA | 10/31/2012 - 08/23/2013 | NASHVILLE, TN | |
B | 05/25/2011 - 08/15/2013 | VOLENTE, TX | |
B | 12/12/2012 - 02/05/2013 | PALO ALTO, CA | |
IA | 06/25/2007 - 12/06/2010 | OVERLAND PARK, KS | |
B | 06/25/2007 - 12/06/2010 | OVERLAND PARK, KS | |
B | 05/26/2005 - 06/04/2007 | SAN DIEGO, CA | |
B | 09/04/2002 - 10/31/2005 | PHOENIX, AZ | |
B | 09/04/2002 - 10/31/2005 | PHOENIX, AZ | |
B | 09/04/2002 - 10/31/2005 | PHOENIX, AZ | |
B | 05/19/2000 - 08/06/2002 | IRVINE, CA | |
B | 02/14/2002 - 05/01/2002 | BROOKLYN, NY | |
B | 07/08/1997 - 12/08/1998 | PITTSBURGH, PA | |
B | 09/20/1993 - 03/25/1997 | GLENDALE, CA | |
B | 04/29/1987 - 09/28/1993 | GLEN ALLEN, VA | |
B | 10/03/1986 - 05/26/1987 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.