Roger S. Reynolds

AE WEALTH MANAGEMENT

Bennett, CO

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CRD#: 2647878

Professional summary

Roger Scott Reynolds is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Bennett, Colorado.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Roger has worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 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.) ASCEVIA LLC DBA REYNOLDS FINANCIAL GROUP; YES INVESTMENT RELATED; 49815 ANTELOPE DRIVE EAST, BENNETT, CO 80102; INSURANCE SALES; CEO; START DATE 02/2018; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) THE FOUNDATION FOR FINANCIAL EDUCATION; NON INVESTMENT RELATED; 2373 SOUTH CENTRAL PARK BLVD. #100, DENVER, CO 80238; FINANCIAL EDUCATION; CHAPTER DIRECTOR; START DATE: 09/01/2018; APPROX 02 HRS/MONTH; APPROX 00 HRS/MONTH DURING TRADING; GIVE BASIC FINANCIAL ADVICE AS A VOLUNTEER. 3.) ESTATE PLANNING DOCUMENTS SERVICES; NOT INVESTMENT RELATED; 8400 E CRESCENT PKWY #250, GREENWOOD VILLAGE, CO 80111; ESTATE PLANNING; FACILITATOR; 10/1/2025; APPROX. 5HRS/MO; APPROX. 5HRS/MO DURING SECURITIES TRADING HOURS; INTRODUCE, COORDINATE, ANDPROVIDE ACCESS TO PLATFORM FOR CLIENTS TO PREPARE ESTATE PLANNING DOCUMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Scott Reynolds'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

April 16, 2021 - Present

AE WEALTH MANAGEMENT, LLC

Office #2: 8400 E Crescent Parkway Ste 250, Greenwood Village, CO 80111

RIA

CRD#: 282580

Bennett, CO

Past

January 2, 1998 - December 31, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

September 29, 1995 - December 31, 1997

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.

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

Colorado
(4/16/2021)

IAR

Texas
(10/1/2024)

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 65

Date: 3/11/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/28/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/15/1996

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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Firm Stability Insights

Roger S. Reynolds

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Scott Reynolds's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2021

Series 63

Date: 9/25/1995

Series 6

Date: 9/28/1995

Series 26

Date: 3/15/1996

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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