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CA

Charles N. Assey

AE FINANCIAL SERVICES
West Columbia, SC 29169
Some features on this profile are disabled
CRD#: 4086472
CA
Charles Norman AsseyAE FINANCIAL SERVICES

Professional summary

Charles Norman Assey, who also goes by Charles Norman Assey, Charles N Assey, Charlie Assey, is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in West Columbia, South Carolina.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2000. Charles has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Aliases

Charles Norman Assey | Charles N Assey | Charlie Assey

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Norman Assey'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

July 13, 2026 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 104 Corporate Blvd Ste 408, West Columbia, SC 29169
BD
CRD#: 298608
West Columbia, SC
Past

January 18, 2024 - June 26, 2026

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
West Columbia, SC
Past

March 22, 2000 - February 8, 2023

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LEXINGTON, SC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
South Carolina
(7/13/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/20/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AE FINANCIAL SERVICES, LLC
AE FINANCIAL SERVICES, LLC

CRD#: 298608 / SEC#: , 8-70214

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Phone number
(866) 363-9595
Established
Kansas since 08/14/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AE FS HOLDINGS, LLCOWNER
CALLANAN, DAVID JAMESCHIEF EXECUTIVE OFFICER4237166
GOCHENOUR, JOLENE KAYFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER6728358
PIERSON, MELISSA KAYCHIEF COMPLIANCE OFFICER1685017
SCHOLZ, SHAWNPRESIDENT2891167
WOLFE, DAVID ROBBGENERAL COUNSEL AND SECRETARY6603373

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.

Company Information

AE FINANCIAL SERVICES, LLC

CRD#: 298608West Columbia, SC 29169

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