Scott K. Warner

AE WEALTH MANAGEMENT

Orange, CA 92868

Some features on this profile are disabled

CRD#: 2161508

Professional summary

Scott Kevin Warner is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Orange, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Scott has worked at 8 firms and has passed the Series 65, Series 63 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.) LIFE DESIGN FINANCIAL; YES INVESTMENT RELATED; 500 N. STATE COLLEGE BLVD, SUITE 1100 ORANGE, CA 92868; INSURANCE SALES; OWNER; START DATE 11/2020; 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 Scott Kevin Warner'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

June 16, 2017 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 500 N State College Blvd Ste 1100, Orange, CA 92868

RIA

CRD#: 282580

Orange, CA

Past

April 14, 2011 - June 19, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

FULLERTON, CA

Past

May 15, 2007 - April 13, 2011

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

FULLERTON, CA

Past

October 14, 2005 - April 13, 2011

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

FULLERTON, CA

Past

February 26, 1997 - October 14, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 12, 1996 - February 20, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 24, 1996 - February 18, 1997

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 4, 1995 - May 9, 1996

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

August 1, 1995 - December 5, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 13, 1994 - August 1, 1995

LFG SECURITIES, INC.

CRD#: 5374

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

California
(6/16/2017)

IAR

Texas
(4/4/2022)

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: 7/24/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/12/1994

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott K. Warner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Kevin Warner's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

OSAIC WEALTH, INC.

1717 CAPITAL MANAGEMENT COMPANY

TITAN/VALUE EQUITIES GROUP, INC.

OSAIC WEALTH, INC.

LFG SECURITIES, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2006

Series 63

Date: 9/13/1994

Series 6

Date: 9/12/1994

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

Similar Advisors