Charles A. Treece
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.
Charles Anthony Treece, who also goes by Tony Treece, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2018 - June 14, 2024
AE WEALTH MANAGEMENT, LLC
December 15, 2017 - January 3, 2018
AE WEALTH MANAGEMENT, LLC
January 31, 2007 - January 10, 2018
PRESERVATION FINANCIAL PARTNERS, INC
May 2, 2006 - January 17, 2007
VOYA FINANCIAL ADVISORS, INC.
April 3, 2006 - January 17, 2007
VOYA FINANCIAL ADVISORS, INC.
January 24, 2006 - March 31, 2006
KALOS MANAGEMENT
January 24, 2006 - March 31, 2006
KALOS CAPITAL, INC.
January 21, 2004 - February 1, 2006
USA FINANCIAL SECURITIES LLC
November 7, 2003 - February 1, 2006
USA FINANCIAL SECURITIES LLC
December 4, 2002 - November 6, 2003
SII INVESTMENTS, INC.
September 30, 2002 - November 6, 2003
SII INVESTMENTS, INC.
February 26, 2002 - October 16, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 21, 1997 - May 9, 2000
EDWARD JONES
February 1, 1995 - July 21, 1997
SECURITIES AMERICA, INC.
September 10, 1993 - December 15, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 24, 1993 - September 10, 1993
NATIONAL PLANNING CORPORATION
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
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.
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