Steven L. Price
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Lyle Price, who also goes by Steve Price, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2022 - September 14, 2023
AE WEALTH MANAGEMENT, LLC
February 15, 2018 - March 24, 2020
BROOKSTONE CAPITAL MANAGEMENT LLC
August 25, 2011 - July 27, 2017
QUESTAR ASSET MANAGEMENT, INC.
July 22, 2011 - July 27, 2017
QUESTAR CAPITAL CORPORATION
June 15, 1998 - August 1, 2011
LPL FINANCIAL LLC
June 2, 1998 - August 1, 2011
LPL FINANCIAL LLC
April 30, 1997 - June 3, 1998
WALNUT STREET SECURITIES, INC.
July 9, 1996 - May 1, 1997
WMA SECURITIES, INC.
December 22, 1992 - July 18, 1994
CETERA WEALTH SERVICES, LLC
October 2, 1992 - December 17, 1992
SWBC INVESTMENT COMPANY
July 5, 1991 - October 7, 1992
CUNA BROKERAGE SERVICES, INC.
December 5, 1989 - August 15, 1990
NYLIFE SECURITIES LLC
June 13, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 13, 1988 - June 9, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 13, 1988 - June 9, 1989
OSAIC FA, INC.
December 18, 1986 - March 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1984 - January 10, 1985
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
