Kevin P. Mooney
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.
Kevin Patrick Mooney, who also goes by Kevin Mooney, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2024 - June 22, 2026
AE WEALTH MANAGEMENT, LLC
June 26, 2024 - June 22, 2026
MADISON AVENUE SECURITIES, LLC
May 16, 2023 - May 3, 2024
THE NEW PENFACS INC.
March 9, 2023 - May 10, 2023
THE LEADERS GROUP, INC.
January 16, 2015 - February 21, 2023
THE NEW PENFACS INC.
May 9, 2014 - January 6, 2015
TLG ADVISORS, INC.
November 20, 2012 - January 6, 2015
THE LEADERS GROUP, INC.
May 25, 2011 - September 18, 2012
DUNHAM
February 15, 2011 - May 24, 2011
JAGEN INVESTMENTS, LLC
November 22, 2007 - June 4, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 9, 2007 - June 4, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 12, 2004 - November 22, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 13, 2003 - November 22, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
February 21, 2001 - July 2, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 9, 1999 - January 16, 2001
WINSLOW, EVANS & CROCKER, INC.
May 29, 1998 - November 2, 1998
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 6/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
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.
