Gary A. Barohn

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CRD#: 4381102

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.

Gary Alan Barohn was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 2004. Gary had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.) Premier Investment Research, LLC; Yes Investment Related; 1968 Meadowtree Lane, Unit #3, Kirkwood, MO 63122; Investment research commentary and strategy; Owner; Start Date 07/01/2021; Approx 30 Hrs/Month; Approx 20 Hrs/Month During Trading; Provide investment market and research commentary on an independent contractor basis.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 27, 2020 - June 2, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

VALLEY PARK, MO

Past

October 15, 2019 - December 13, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Chesterfield, MO

Past

October 7, 2019 - December 13, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Chesterfield, MO

Past

February 25, 2019 - June 20, 2019

CORRECT CAPITAL WEALTH MANAGEMENT, LLC

RIA

CRD#: 298774

CLAYTON, MO

Past

April 10, 2013 - May 3, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ST. LOUIS, MO

Past

April 10, 2013 - May 3, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

August 20, 2009 - May 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 1, 2009 - May 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

July 24, 2006 - March 17, 2009

GALLATIN ASSET MANAGEMENT, INC.

RIA

CRD#: 136448

ST. LOUIS, MO

Past

March 30, 2004 - June 23, 2004

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

ST. LOUIS, MO

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 9/9/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2009

General Securities 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

Gary A. Barohn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CORRECT CAPITAL WEALTH MANAGEMENT, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

GALLATIN ASSET MANAGEMENT, INC.

SAXONY CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2010

SIE

Date: 5/3/2018

Series 7

Date: 8/19/2009

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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