Kenneth D. Earwood

AE WEALTH MANAGEMENT

HUNTINGTON BEACH, CA 92649

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CRD#: 2459349

Professional summary

Kenneth Daniel Glen Earwood is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Huntington Beach, California.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kenneth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 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.) TITAN FINANCIAL & INSURANCE SOLUTIONS, INC.; YES, INVESTMENT RELATED; 16531 BOLSA CHICA ST, STE 250, HUNTINGTON BEACH, CA 92649; INSURANCE SALES;PRESIDENT; START DATE 04/2004; APPROX 160 HRS/MONTH; APPROX 120 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Daniel Glen Earwood'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 26, 2023 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 16531 Bolsa Chica St Ste 250, Huntington Beach, CA 92649

RIA

CRD#: 282580

HUNTINGTON BEACH, CA

Past

July 25, 2022 - June 21, 2023

SPC

RIA

CRD#: 110692

Huntington Beach, CA

Past

December 2, 2008 - June 21, 2023

PARKLAND SECURITIES, LLC

CRD#: 115368

HUNTINGTON BEACH, CA

Past

July 10, 2007 - November 28, 2008

PARKLAND SECURITIES, LLC

CRD#: 115368

HUNTINGTON BEACH, CA

Past

February 25, 2000 - July 10, 2007

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

HUNTINGTON BEACH, CA

Past

April 21, 1994 - June 22, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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
(6/26/2023)

IAR

Texas
(10/21/2024)

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 66

Date: 7/12/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/2000

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

Kenneth D. Earwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Daniel Glen Earwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

PARKLAND SECURITIES, LLC

PARKLAND SECURITIES, LLC

LEGACY FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2022

Series 63

Date: 4/5/2000

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2009

Series 6

Date: 2/22/2000

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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