Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
THOMAS DONALD GANDOLFI JR.
CRD#: 6464714
IA
Investment Adviser
AE WEALTH MANAGEMENT, LLCCRD#: 282580 5900 Windward Pkwy
Ste 500
Alpharetta, GA 30005
Registration History
201520162017201820192020202120222023202420252026IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2021 - Present (3 years)IAJOHNSON BRUNETTI (CRD# 171168)2024 - 2024 (<1 year)IASOUND INCOME STRATEGIES, LLC (CRD# 173272)2018 - 2021 (3 years)IABROOKSTONE CAPITAL MANAGEMENT LLC (CRD# 141413)2016 - 2018 (2 years)IARETIREMENT WEALTH ADVISORS, INC. (CRD# 137658)2015 - 2016 (<1 year)
License(s)

State Registrations

IA
Florida 7/18/2023
IA
Texas 4/14/2021
IA
Georgia 4/13/2021
Current Registration(s)
IA
AE WEALTH MANAGEMENT, LLC (CRD#:282580)
5900 Windward Pkwy Ste 500, Alpharetta, GA 30005
Registered with this firm since 4/13/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/09/2024 - 01/15/2024 JOHNSON BRUNETTI (CRD#:171168) Alpharetta, GA
IA
 03/14/2018 - 04/07/2021 SOUND INCOME STRATEGIES, LLC (CRD#:173272) Alpharetta, GA
IA
 02/05/2016 - 03/13/2018 BROOKSTONE CAPITAL MANAGEMENT LLC (CRD#:141413) Alpharetta, GA
IA
 04/27/2015 - 02/04/2016 RETIREMENT WEALTH ADVISORS, INC. (CRD#:137658) ALPHARETTA, GA
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.