Philip M. Henry
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.
Philip Michael Henry, who also goes by Philip Michael Henry, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2000. Philip had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
October 4, 2023 - October 3, 2025
AE WEALTH MANAGEMENT, LLC
June 18, 2015 - March 28, 2019
OSAIC SERVICES, INC.
December 1, 2006 - June 24, 2015
QUESTAR CAPITAL CORPORATION
January 10, 2002 - December 1, 2006
USALLIANZ SECURITIES, INC.
July 8, 2000 - December 31, 2001
OSAIC FS, INC.
March 29, 2000 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
January 4, 2000 - April 7, 2000
MML INVESTORS 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
Current 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.
