Brett E. Gottlieb

AE WEALTH MANAGEMENT

Carlsbad, CA 92011

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CRD#: 3245674

Professional summary

Brett Eric Gottlieb is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Carlsbad, California.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Brett has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

COMPREHENSIVE ADVISOR, LLC; INVESTMENT-RELATED; 2011 PALOMAR AIRPORT RD, STE 302 CARLSBAD CA 92011; INSURANCE SALES AND SERVICE; OWNER/INSURANCE AGENT; 1/2011; 128 HOURS/MONTH; 128 HOURS/MONTH; SALES OF FIXED INSURANCE PRODUCTS AFEA POSITION: Chapter President & Speaker NATURE: AFEA, The American Financial Education Alliance, is recognized by the IRS as a 501(c)(3) non-profit charitable organization that provides educational workshops and classes in businesses and universities nationwide. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/03/2025 ADDRESS: 349 Copperfield Blvd NE STE-L #106, Concord NC 28025, United States DESCRIPTION: Financial education coach speaking on general retirement planning topics.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Eric Gottlieb'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

March 27, 2019 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 2011 Palomar Airport Rd Ste 302, Carlsbad, CA 92011

RIA

CRD#: 282580

Carlsbad, CA

Past

February 10, 2012 - July 17, 2019

LEGACY ROAD LLC

RIA

CRD#: 157356

LOS ANGELES, CA

Past

September 4, 2007 - January 4, 2011

COOPER MCMANUS

RIA

CRD#: 111458

EL SEGUNDO, CA

Past

October 28, 2002 - January 3, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

EL SEGUNDO, CA

Past

July 28, 1999 - October 26, 2000

USI SECURITIES, INC.

CRD#: 43793

GLASTONBURY, CT

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

California
(3/27/2019)

IAR

Texas
(3/29/2019)

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: 7/21/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/1999

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

Brett E. Gottlieb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Eric Gottlieb's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY ROAD LLC

COOPER MCMANUS

SECURITIES AMERICA, INC.

USI SECURITIES, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2007

Series 63

Date: 7/28/1999

Series 7

Date: 5/12/2008

Series 6

Date: 7/27/1999

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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