Kevin P. Mooney

AE WEALTH MANAGEMENT

Las Vegas, NV

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CRD#: 3023321

Professional summary

Kevin Patrick Mooney, who also goes by Kevin Mooney, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Las Vegas, Nevada and MADISON AVENUE SECURITIES, LLC located in San Diego, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Mooney

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.) Name: Advisors Excel; Address: 2950 SW McClure Rd, Topeka KS 66614; Investment Related: Yes; Position: High Net Worth Consultant; Duties: Working with financial advisors and their high net worth clients; Hour Per Week: 40 Hours; Start Date: 5/6/2024 2.) Madison Avenue Securities POSITION: Registered Representative NATURE: Broker Dealer INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE 06/2024 ADDRESS: 13500 Evening Creek Dr N, Suite 555, San Diego, CA 92128 DESCRIPTION: Securities Sales and Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Mooney'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

August 22, 2024 - Present

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Las Vegas, NV

Current

June 26, 2024 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 13500 Evening Creek Dr N #555, San Diego, CA 92128

RIA

CRD#: 23224

San Diego, CA

Past

May 16, 2023 - May 3, 2024

THE NEW PENFACS INC.

CRD#: 145584

Southborough, MA

Past

March 9, 2023 - May 10, 2023

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

January 16, 2015 - February 21, 2023

THE NEW PENFACS INC.

CRD#: 145584

Southborough, MA

Past

May 9, 2014 - January 6, 2015

TLG ADVISORS, INC.

RIA

CRD#: 111052

THE WOODLANDS, TX

Past

November 20, 2012 - January 6, 2015

THE LEADERS GROUP, INC.

CRD#: 37157

LAS VEGAS, NV

Past

May 25, 2011 - September 18, 2012

DUNHAM

RIA

CRD#: 13162

RENO, NV

Past

February 15, 2011 - May 24, 2011

JAGEN INVESTMENTS, LLC

RIA

CRD#: 148607

HENDERSON, NV

Past

November 22, 2007 - June 4, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

LAS VEGAS, NV

Past

November 9, 2007 - June 4, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

LAS VEGAS, NV

Past

March 12, 2004 - November 22, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

LAS VEGAS, NV

Past

October 13, 2003 - November 22, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

February 21, 2001 - July 2, 2002

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

December 9, 1999 - January 16, 2001

WINSLOW, EVANS & CROCKER, INC.

CRD#: 29686

BOSTON, MA

Past

May 29, 1998 - November 2, 1998

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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.

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

Nevada
(6/26/2024)

IAR

Nevada
(8/22/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/2012

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: 11/19/2012

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 6/1/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 6

Date: 5/13/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Kevin P. Mooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Mooney's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

THE NEW PENFACS INC.

THE LEADERS GROUP, INC.

THE NEW PENFACS INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

DUNHAM

JAGEN INVESTMENTS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

WINSLOW, EVANS & CROCKER, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2024

Series 63

Date: 12/14/2012

SIE

Date: 10/1/2018

Series 7

Date: 11/19/2012

Series 55

Date: 6/1/2000

Series 6

Date: 5/13/1998

FINRA

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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