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Michael Joseph Cajthaml Sr

CFP®
CRD# 1604873·Registered 1986 - 2026
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Joseph Cajthaml SR, CFP®, who also goes by Cy Cajthaml, Michael Joseph Cajthaml, Mike Cajthaml, Mike Cy, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1986 - 2026. Michael had worked at 14 firms and has passed the Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Cy Cajthaml, Michael Joseph Cajthaml, Mike Cajthaml, Mike Cy

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 2003

Years of Experience

39 years in the financial services industry

Current & Past Employments

AE WEALTH MANAGEMENT, LLC·CRD# 282580
RIA
Overland Park, KS
January 2, 2025 - August 11, 2026
CREATIVEONE SECURITIES, LLC·CRD# 152974
RIA
Overland Park, KS
December 4, 2019 - December 31, 2022
AE WEALTH MANAGEMENT, LLC·CRD# 282580
RIA
Overland Park, KS
December 6, 2016 - December 17, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.·CRD# 132070
RIA
Overland Park, KS
January 6, 2016 - December 7, 2016
GRADIENT SECURITIES, LLC·CRD# 127701
RIA
Overland Park, KS
April 30, 2015 - November 25, 2015
GRADIENT SECURITIES, LLC·CRD# 127701
BD
Overland Park, KS
April 30, 2015 - November 25, 2015
DOWER STRATEGIC CAPITAL, INC.·CRD# 155683
RIA
Overland Park, KS
September 23, 2014 - May 11, 2015
CREATIVEONE SECURITIES, LLC·CRD# 152974
RIA
Leawood, KS
August 21, 2012 - April 15, 2014
CREATIVEONE SECURITIES, LLC·CRD# 152974
BD
Leawood, KS
August 21, 2012 - April 15, 2014
INVESTMENT ADVISORS CORP·CRD# 117531
RIA
Overland Park, KS
January 31, 2007 - December 31, 2010
BROKER DEALER FINANCIAL SERVICES CORP.·CRD# 8073
BD
Leawood, KS
January 31, 2007 - December 31, 2010
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Mchenry, IL
March 7, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Mchenry, IL
March 26, 2003 - December 31, 2006
LOCUST STREET SECURITIES, INC.·CRD# 1703
BD
Des Moines, IA
March 1, 1999 - March 31, 2003
NATIONAL PLANNING CORPORATION·CRD# 29604
BD
Los Angeles, CA
February 21, 1995 - December 31, 1998
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
January 9, 1990 - December 31, 1994
TOWER SQUARE SECURITIES, INC.·CRD# 833
BD
El Segundo, CA
May 8, 1989 - January 23, 1990
TRANSAMERICA SECURITIES SALES CORPORATION·CRD# 17970
BD
March 6, 1987 - April 15, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.·CRD# 3600
BD
December 19, 1986 - April 15, 1989

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Current Firm

AW
AE WEALTH MANAGEMENT, LLC

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - SEC (2/17/2016 Approved)

Contact Information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Phone Number

(866) 363-9595

# of Employees

630

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

282,995

AUM (Assets Under Management)

$49,837,385,888

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Pareto Systems; Not investment related; 2604 1593 Sutherland Ave. #101 Kelowna, BC V1Y 5Y7; Practice Management; Practice Management Coach; Start Date: 07/2022; 60 hrs/mo; 60 hrs/mo during trading hours; Client Coach teaching practice management system.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
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CRD#: 282580 / SEC#: 801-107319
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Registered Investment Advisory firm - SEC (2/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2015About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 1986About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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