Shannon Cheah
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.
Shannon Cheah, who also goes by Shannon Tek Ki Cheah, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 1998. Shannon had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2025 - May 18, 2026
AE WEALTH MANAGEMENT, LLC
February 28, 2025 - May 18, 2026
AE FINANCIAL SERVICES, LLC
January 3, 2023 - February 28, 2025
COPPER FINANCIAL
July 13, 2021 - December 31, 2022
COPPER FINANCIAL
July 13, 2021 - February 28, 2025
COPPER FINANCIAL
August 17, 2020 - July 14, 2021
ALPACA SECURITIES LLC
February 28, 2008 - August 17, 2020
WADDELL & REED
February 25, 2008 - August 17, 2020
WADDELL & REED
June 30, 2004 - February 8, 2008
AMERIPRISE ADVISOR SERVICES, INC.
January 3, 2002 - February 8, 2008
AMERIPRISE ADVISOR SERVICES, INC.
April 21, 1998 - May 30, 2003
BIRCHTREE FINANCIAL SERVICES LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
