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Detailed Report
JOHN JOSEPH IMMING
JOHN IMMING
CRD#: 5630591
IA
Investment Adviser
B
Broker
AE WEALTH MANAGEMENT, LLCCRD#: 282580 2950 SW McClure Rd
Ste B
Topeka, KS 66614
AE FINANCIAL SERVICES, LLCCRD#: 298608 2950 SW McClure Rd
Ste B
Topeka, KS 66614
Registration History
2010201220142016201820202022202420262 FIRMS2014 - 2015 (<1 year)IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2016 - Present (8 years)BAE FINANCIAL SERVICES, LLC (CRD# 298608)2020 - Present (4 years)BMADISON AVENUE SECURITIES, LLC (CRD# 23224)2017 - 2018 (1 year)BWADDELL & REED, INC. (CRD# 866)2010 - 2012 (2 years)IAWADDELL & REED, INC. (CRD# 866)2011 - 2012 (1 year)
License(s)

State Registrations

B
Colorado 3/30/2023
B
Tennessee 3/31/2023
B
Illinois 3/13/2024
IA
Texas 8/4/2020
IA
Kansas 4/1/2016
B
Texas 4/5/2023
B
Kansas 8/5/2020
B
Virginia 2/2/2024
B
Kentucky 2/5/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AE WEALTH MANAGEMENT, LLC (CRD#:282580)
2950 SW McClure Rd Ste B, Topeka, KS 66614
Registered with this firm since 4/1/2016
B
AE FINANCIAL SERVICES, LLC (CRD#:298608)
2950 SW McClure Rd Ste B, Topeka, KS 66614
Registered with this firm since 7/28/2020
Previous Registration(s)
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B
 03/06/2017 - 11/12/2018 MADISON AVENUE SECURITIES, LLC (CRD#:23224) Topeka, KS
IA
 12/19/2014 - 12/18/2015 ADVOCACY WEALTH MANAGEMENT, LLC (CRD#:141943) TOPEKA, KS
B
 09/02/2014 - 06/30/2015 CERTUSSECURITIES, INC. (CRD#:144051) CHARLOTTE, NC
IA
 01/05/2011 - 05/04/2012 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
B
 03/23/2010 - 05/04/2012 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.