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Detailed Report
Kathleen Anne Nolan
KATHLEEN ANNE SULLIVAN
CRD#: 859895
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Investment Adviser
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Previous Broker
AE WEALTH MANAGEMENT, LLCCRD#: 282580 3350 Highway 138
Ste 111
Wall, NJ 07719
Registration History
19801985199019952000200520102015202020252 FIRMS1992 - 1997 (4 years)IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2017 - Present (8 years)BR.C. STAMM AND COMPANY (CRD# 11105)1982 - 1987 (5 years)BBRUNS, NORDEMAN, REA & CO. (CRD# 6589)1981 - 1981 (<1 year)BJANNEY MONTGOMERY SCOTT INC. (CRD# 463)1978 - 1981 (2 years)IAGLOBAL FINANCIAL PRIVATE CAPIT... (CRD# 132070)2012 - 2017 (4 years)IABROKERS INTERNATIONAL FINANCIA... (CRD# 139627)2011 - 2012 (<1 year)IAREAP FINANCIAL GROUP, LLC (CRD# 144560)2009 - 2011 (1 year)IAFAMILY FOCUS INVESTMENT ADVISO... (CRD# 150454)2009 - 2009 (<1 year)
Disclosure(s)
View By:
5/12/2011
Regulatory
Final
License(s)

State Registrations

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New Jersey 3/7/2017
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Texas 6/12/2018
Current Registration(s)
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AE WEALTH MANAGEMENT, LLC (CRD#:282580)
3350 Highway 138 Ste 111, Wall, NJ 07719
7 Carroll Ct, Bluffton, SC 29910
Registered with this firm since 3/7/2017
Previous Registration(s)
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 05/04/2012 - 03/03/2017 GLOBAL FINANCIAL PRIVATE CAPITAL, LLC (CRD#:132070) WALL, NJ
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 07/27/2011 - 05/04/2012 BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC (CRD#:139627) JACKSON, NJ
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 12/02/2009 - 08/26/2011 REAP FINANCIAL GROUP, LLC (CRD#:144560) JACKSON, NJ
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 10/05/2009 - 12/31/2009 FAMILY FOCUS INVESTMENT ADVISORS, LLC (CRD#:150454) JACKSON, NJ
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 07/20/1992 - 04/09/1997 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
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 07/20/1992 - 04/09/1997 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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 01/19/1982 - 02/02/1987 R.C. STAMM AND COMPANY (CRD#:11105)
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 01/16/1981 - 09/04/1981 BRUNS, NORDEMAN, REA & CO. (CRD#:6589)
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 11/27/1978 - 02/15/1981 JANNEY MONTGOMERY SCOTT INC. (CRD#:463)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.