Stephen J. Mansi

AE WEALTH MANAGEMENT

Warwick, RI 02886

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CRD#: 1745138

Professional summary

Stephen John Mansi, CFP®, who also goes by Steve Mansi, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Warwick, Rhode Island.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Stephen has worked at 9 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Mansi

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.

1.) Massey and Associates, Inc.; YES INVESTMENT RELATED; 250 F Centerville Road, Warwick, RI 02886; INSURANCE SALES; Financial Advisor; START DATE 10/2019; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen John Mansi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

November 1, 2019 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 250f Centerville Rd, Warwick, RI 02886

RIA

CRD#: 282580

Warwick, RI

Past

April 4, 2003 - November 10, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

April 6, 2001 - November 10, 2003

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

January 9, 1998 - April 6, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

November 26, 1996 - March 21, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 14, 1994 - November 30, 1994

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

December 23, 1991 - June 9, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

December 23, 1991 - June 9, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 21, 1987 - October 23, 1990

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(11/1/2019)

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

State Security Law Exam

Series 63

Date: 2/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Mansi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen John Mansi's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

GUARDIAN INVESTOR SERVICES LLC

NORTH AMERICAN MANAGEMENT, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1997

Series 7

Date: 10/17/1987

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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