James A. Tucker

AE WEALTH MANAGEMENT

Topeka, KS

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CRD#: 2473786

Professional summary

James Angus Tucker is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Topeka, Kansas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 31 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.) BLACK LABEL FINANCIAL, LLC; YES INVESTMENT RELATED; 1740 SOUTHWEST OAKLEY AVENUE, TOPEKA, KS 66604; INSURANCE SALES; FOUNDER/PRESIDENT; START DATE 10/2021; APPROX 80 HRS/MONTH; APPROX 80 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) NESBETTTUCKER, INC; NO INVESTMENT RELATED; 1740 SOUTHWEST OAKLEY AVENUE; TRANSPORTATION; VICE PRESIDENT; START DATE 05/2012; APPROX 60 HRS/MONTH; APPROX 15 HRS/MONTH DURING TRADING; EXECUTIVE LEVEL CAR SERVICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Angus Tucker'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

February 28, 2022 - Present

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Topeka, KS

Past

January 31, 2018 - November 12, 2018

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Topeka, KS

Past

June 19, 2001 - June 14, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 16, 2000 - June 19, 2001

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 7, 1998 - April 16, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

May 17, 1994 - February 14, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Kansas
(2/28/2022)

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: 10/7/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/1994

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: 1/31/2018

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 6/7/1994

Futures Managed Funds 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

James A. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Angus Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/2021

Series 63

Date: 5/31/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/31/2018

Series 31

Date: 6/7/1994

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

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