Allan A. Beck

AE WEALTH MANAGEMENT

Waldoboro, ME 04572

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CRD#: 2047641

Professional summary

Allan Arthur Beck is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Waldoboro, Maine.

Allan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Allan has worked at 8 firms and has passed the Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. CORNERSTONE FINANCIAL SERVICES, LLC; YES INVESTMENT RELATED; 816 ATLANTIC HIGHWAY, WALDOBORO, MAINE 04572; INSURANCE SALES; MANAGING MEMBER; START DATE 02/1997; APPROX 100 HRS/MONTH; APPROX 100 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVIES. 2. CORNERSTONE INVESTMENT PROPERTIES, LLC; YES INVESTMENT RELATED; 816 ATLANTIC HIGHWAY, WALDOBORO, MAINE 04572; RENTAL REAL ESTATE; MANAGING MEMBER; START DATE 01/2015; APPROX 08 HRS/ MONTH; APPROX 00 HRS/MONTH DURING TRADING; REAL ESTATE RENTAL PROPERTIES. 3. CORNERSTONE ADVANTAGE, LLC; YES INVESTMENT RELATED; 816 ATLANTIC HIGHWAY, WALDOBORO, MAINE 04572; MEDICARE SALES; MANAGING MEMBER; START DATE 02/1997; APPROX 04 HRS/MONTH; APPROX 00 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Arthur Beck'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®

None

Experience

Current

November 4, 2022 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 816 Atlantic Hwy, Waldoboro, ME 04572

RIA

CRD#: 282580

Waldoboro, ME

Past

May 4, 2021 - November 4, 2022

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

WALDOBORO, ME

Past

March 25, 2009 - July 31, 2017

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

NOBLEBORO, ME

Past

December 3, 2008 - March 19, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NOBLEBORO, ME

Past

October 12, 2007 - November 7, 2008

KCD FINANCIAL, INC.

CRD#: 127473

NOBLEBORO, ME

Past

March 11, 1997 - October 26, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

NOBLEBORO, ME

Past

April 10, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 10, 1990 - March 27, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Maine
(11/4/2022)

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

IAR

Series 65

Date: 3/8/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/9/1990

Investment Company Products/Variable Contracts 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

Allan A. Beck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Arthur Beck's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

FORESTERS EQUITY SERVICES, INC.

QUESTAR CAPITAL CORPORATION

KCD FINANCIAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2021

SIE

Date: 7/31/2017

Series 6

Date: 4/9/1990

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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