John P. Fawson
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.
John Paul Fawson, who also goes by John P Fawson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 7 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
January 8, 2019 - April 14, 2025
AE WEALTH MANAGEMENT, LLC
January 6, 2009 - April 15, 2009
MIDAMERICA FINANCIAL SERVICES, INC.
May 30, 2008 - January 9, 2019
BROOKSTONE CAPITAL MANAGEMENT LLC
June 23, 2006 - January 12, 2007
KCD FINANCIAL, INC.
December 16, 2005 - June 1, 2006
OSAIC SERVICES, INC.
March 5, 2003 - November 4, 2005
HORNOR, TOWNSEND & KENT, LLC
April 17, 2002 - February 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 2002 - February 19, 2003
IDS LIFE INSURANCE COMPANY
April 3, 2002 - February 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2001 - February 6, 2002
NEW ENGLAND SECURITIES
November 6, 2000 - October 23, 2001
WMA SECURITIES, INC.
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.
