Norman D. Eccarius

AE WEALTH MANAGEMENT

Saint Charles, MO 63303

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CRD#: 2283467

Professional summary

Norman David Eccarius, who also goes by Dave Eccarius, David Eccarius, N. David Eccarius, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Saint Charles, Missouri.

Norman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Norman has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Eccarius | David Eccarius | N. David Eccarius

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.

Eccarius Financial; Yes, Investment Related; 2604 Heritage Landing, Saint Charles MO 63303; Insurance Sales; Insurance Agent; Start Date 092024; Approx. 120 hours a month; Approx. 120 hours during trading; Insurance Sales and Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman David Eccarius'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 13, 2023 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 2604 Heritage Landing, Saint Charles, MO 63303Office #2: 1980 Concourse Drive, St Louis, MO 63146

RIA

CRD#: 282580

Saint Charles, MO

Past

June 7, 2017 - August 20, 2020

CENTER STREET ADVISORS, INC.

RIA

CRD#: 169329

Chesterfield, MO

Past

November 13, 2008 - February 9, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

GLASTONBURY, CT

Past

March 24, 2008 - February 9, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

GLASTONBURY, CT

Past

April 10, 2002 - March 10, 2008

SAXONY SECURITIES, INC.

CRD#: 115547

ST. PETERS, MO

Past

October 22, 2001 - April 11, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

August 23, 1999 - October 20, 2008

C. P. S. ADVISORS, INC.

RIA

CRD#: 116841

ST. LOUIS, MO

Past

January 26, 1999 - October 1, 2001

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

Past

July 25, 1995 - January 20, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 14, 1993 - July 26, 1995

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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

Missouri
(11/13/2023)

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: 8/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/17/1997

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

Norman D. Eccarius

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman David Eccarius's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTER STREET ADVISORS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SAXONY SECURITIES, INC.

LASALLE ST SECURITIES, L.L.C.

C. P. S. ADVISORS, INC.

EISNER SECURITIES, INC.

OSAIC WEALTH, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2023

Series 63

Date: 4/6/1993

SIE

Date: 2/9/2017

Series 7

Date: 11/7/2002

Series 6

Date: 6/17/1997

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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