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Detailed Report
BROOKE MICHAL GARCIA
BROOKE MICHAL HERREN, BROOKE MICHAL MUELLER
CRD#: 6229394
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
201320142015201620172018201920202021202220232024202520263 FIRMS2021 - 2022 (1 year)IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2022 - Present (2 years)BAE FINANCIAL SERVICES, LLC (CRD# 298608)2023 - Present (2 years)BSECURITY DISTRIBUTORS (CRD# 3336)2019 - 2020 (1 year)BSECURITY DISTRIBUTORS (CRD# 3336)2013 - 2017 (4 years)IACBIZ INVESTMENT ADVISORY SERVI... (CRD# 286002)2020 - 2021 (<1 year)
License(s)

State Registrations

IA
Kansas 12/8/2022
B
Kansas 2/7/2023

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 12/8/2022
B
AE FINANCIAL SERVICES, LLC (CRD#:298608)
2950 SW McClure Rd Ste B, Topeka, KS 66614
8801 Renner Blvd., Lenexa, KS 66219-9717
Registered with this firm since 1/30/2023
Previous Registration(s)
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IA
 07/28/2021 - 11/14/2022 ENDEX CAPITAL MANAGMENT LLC (CRD#:109541) MERRIAM, KS
IA
 07/20/2021 - 11/14/2022 DEMARCHE (CRD#:105500) MERRIAM, KS
IA
 07/20/2021 - 11/14/2022 DEMARCHE (CRD#:145851) MERRIAM, KS
IA
 09/16/2020 - 04/26/2021 CBIZ INVESTMENT ADVISORY SERVICES, LLC (CRD#:286002) Kansas City, MO
B
 07/29/2019 - 09/22/2020 SECURITY DISTRIBUTORS (CRD#:3336) TOPEKA, KS
B
 08/05/2013 - 09/08/2017 SECURITY DISTRIBUTORS (CRD#:3336) TOPEKA, 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.