Lu A. Maly

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CRD#: 2306552

Professional summary

Being a previously registered professional could mean that this person 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.

Lu Allan Maly, who also goes by Lu A Maly, Lu A. Maly, was a registered financial professional .

Lu is a previously registered financial professional and started their career in finance in 1993. Lu had worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lu A Maly | Lu A. Maly

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

January 28, 2021 - January 20, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

OMAHA, NE

Past

January 4, 2019 - January 30, 2019

KINGDOM FINANCIAL GROUP, LLC

RIA

CRD#: 155676

PEORIA, AZ

Past

July 9, 2018 - January 2, 2019

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

OMAHA, NE

Past

March 8, 2016 - October 4, 2017

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Phoenix, AZ

Past

February 2, 2016 - March 3, 2016

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Phoenix, AZ

Past

March 28, 2002 - January 29, 2003

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

February 27, 2001 - March 27, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 27, 1998 - January 11, 2000

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

August 11, 1997 - February 5, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

December 2, 1994 - November 6, 1995

FIRST LINCOLN INVESTMENTS, INC.

CRD#: 7076

LINCOLN, NE

Past

January 7, 1993 - November 2, 1994

FBL MARKETING SERVICES, LLC

CRD#: 5309

WEST DES MOINES, IA

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.

Visual representation of state registrations

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

State Security Law Exam

IAR

Series 65

Date: 10/20/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/4/1993

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

Lu A. Maly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KINGDOM FINANCIAL GROUP, LLC

AE WEALTH MANAGEMENT, LLC

BROOKSTONE WEALTH ADVISORS, LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

THE ADVISORS GROUP, INC.

VERAVEST INVESTMENTS, INC.

FIRST LINCOLN INVESTMENTS, INC.

FBL MARKETING SERVICES, LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2015

Series 63

Date: 1/11/1993

Series 6

Date: 1/4/1993

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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