Raimund Marx

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CRD#: 2489343

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.

Raimund Marx was a registered financial professional .

Raimund is a previously registered financial professional and started their career in finance in 1994. Raimund had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

Raymond Marx Financial, Inc. ; Yes Investment Related; 13575 58th St. N. Suite 200, Clearwater FL, 33760; Insurance Sales; POSITION: Owner; START DATE: 11/1992; Approx. 200 hours a month; Approx. 00 hours during trading; Insurance Sales and Services.

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

August 4, 2023 - October 14, 2024

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Clearwater, FL

Past

October 10, 2007 - July 18, 2023

RAYMOND MARX FINANCIAL ADVISORY GROUP INC.

RIA

CRD#: 144687

CLEARWATER, FL

Past

October 20, 2006 - July 6, 2007

J.W. COLE FINANCIAL, INC.

CRD#: 124583

CLEARWATER, FL

Past

January 21, 2003 - November 1, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CLEARWATER, FL

Past

February 9, 2002 - January 22, 2003

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

Past

January 27, 1999 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

November 4, 1996 - February 12, 1999

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 26, 1994 - November 8, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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: 10/3/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/25/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/11/1996

Investment Company Products/Variable Contracts Principal 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

Raimund Marx

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND MARX FINANCIAL ADVISORY GROUP INC.

J.W. COLE FINANCIAL, INC.

VOYA FINANCIAL ADVISORS, INC.

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2007

Series 63

Date: 5/25/1994

Series 7

Date: 9/6/2005

Series 6

Date: 5/25/1994

Series 26

Date: 1/11/1996

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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