Shawn M. Scholz

AE FINANCIAL SERVICES

Topeka, KS 66614

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CRD#: 2891167

Professional summary

Shawn Michael Scholz, who also goes by Shawn Michael Scholz, is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in Topeka, Kansas.

Shawn is registered as a RR (Registered Representative) and started their career in finance in 1997. Shawn has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shawn Michael Scholz

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Michael Scholz'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

October 6, 2021 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 4125 Sw Gage Center Dr, Topeka, KS 66614

CRD#: 298608

Topeka, KS

Past

March 15, 2019 - September 17, 2021

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

August 1, 2018 - March 8, 2019

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

MINNEAPOLIS, MN

Past

February 4, 2013 - January 2, 2018

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

April 27, 2010 - January 2, 2018

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506

Minneapolis, MN

Past

July 9, 1997 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 9, 1997 - January 2, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(10/7/2021)

Exams

State Security Law Exam

Series 63

Date: 3/9/1998

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: 12/17/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AE FINANCIAL SERVICES, LLC

CRD#: 298608 / SEC#: , 8-70214

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Phone number

(866) 363-9595

Established

Kansas since 08/14/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AE FS HOLDINGS, LLC	OWNER
CALLANAN, DAVID JAMES	CHIEF EXECUTIVE OFFICER	4237166
GOCHENOUR, JOLENE KAY	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	6728358
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
SCHOLZ, SHAWN	PRESIDENT	2891167
WOLFE, DAVID ROBB	GENERAL COUNSEL AND SECRETARY	6603373

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

Shawn M. Scholz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Michael Scholz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

U.S. BANCORP INVESTMENTS, INC.

RIVERSOURCE DISTRIBUTORS, INC.

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1997

Series 6

Date: 7/8/1997

Series 24

Date: 5/13/2009

FINRA

Current Firm

AE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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