Mark A. Pruitt

AE WEALTH MANAGEMENT

Carrollton, TX 75010

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CRD#: 4081821

Professional summary

Mark Anthony Pruitt is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Carrollton, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Mark has worked at 4 firms and has passed the Series 65, Series 63 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.

1) Strategic Estate Planning Services, Inc. Investment Related. 18333 Preston Rd, Suite 535. Insurance Sales. Owner/President. 03/2005. 80 hours per month. 80 hours per month during securities trading hours. Insurance Professional. 2) Secure Investment Management, LLC. Investment Related. 3067 W Ina Rd. Suite 125 Tucson, AZ 85741. Securities. Investment Adviser Representative. 01/2016. 10 hours per month. 10 hours per month during securities trading hours. Sales. 3) Board Member for Mustang Ridge Office Complex; Not Investment Related; 4425 Plano Pkwy Ste 101 Carrollton, TX 75010; HOA; Board Member; 1/2024; 2hrs/Mo; 2hrs/Mo during Securities Trading Hours; Voting on repairs that need to be done.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Pruitt'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

February 15, 2017 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 4425 Plano Pkwy Ste 101, Carrollton, TX 75010

RIA

CRD#: 282580

Carrollton, TX

Past

July 1, 2015 - February 16, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

DALLAS, TX

Past

February 23, 2001 - February 12, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

January 20, 2000 - April 13, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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

Texas
(2/15/2017)

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: 5/11/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/19/2000

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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Mark A. Pruitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Pruitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

1717 CAPITAL MANAGEMENT COMPANY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2015

Series 63

Date: 2/17/2000

Series 6

Date: 1/19/2000

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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