KL
Kris B. Lloyd
AE WEALTH MANAGEMENT
Houston, TX 77027
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CRD#: 4599759
KL
Professional summary
Kris Brannon Lloyd JR is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Houston, Texas.
Kris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kris has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 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.) TCMG, LP DBA THE COLLEGE MONEY GUYS; NOT INVESTMENT RELATED; 3555 TIMMONS LN SUITE 925, HOUSTON, TX 77027; INSURANCE SALES; OWNER & CEO; START DATE 03/2007; APPROX 5 HRS/MONTH; APPROX 5 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) THE LLOYD FINANCIAL GROUP, LLC; YES INVESTMENT RELATED; 3555 TIMMONS LN SUITE 925, HOUSTON, TX 77027; FINANCIAL PLANNING,WEALTH MANAGEMENT, INVESTMENT ADVICE; OWNER & CEO; START DATE 01/2022; APPROX 240 HRS/MONTH; APPROX 240 HRS/MONTH DURING TRADING; PAYROLL, ACCOUNTING, SALES, SERVICE OF CLIENT ACCOUNTS. 3.) AMERICAN FINANCIAL EDUCATORS ALLIANCE; NOT INVESTMENT RELATED; 349 COPPERFIELD BLVD NE, STE-L #106, CONCORD, NC 28025; NON-PROFIT ORGANIZATION COMPRISED OF A VERY DIVERSE AND GROWING MEMBERSHIP OF LICENSED PROFESSIONALS; EDUCATOR; 12/1/2024; 4HRS/MO; 4HRS/MO DURING SECURITIES TRADING HOURS; HOST FINANCIAL EDUCATION CLASSES AT COMMUNITY VENUES. 4.) LLOYD TAX PLANNING, LLC; NOT INVESTMENT RELATED; 3555 TIMMONS LN SUITE 925, HOUSTON, TX 77027; CONSULTING FOR FINANCIAL STRATEGIES CENTERED AROUND TAX MITIGATION FOR RETIREES; FOUNDER & CEO; 12/4/2024; 6/HRS/MO; 6HRS/MO DURING SECURITIES TRADING HOURS; OWNER AND CONSULTANT. 5.) SOCIETY FOR FINANCIAL AWARENESS; NOT INVESTMENT RELATED; 3655 RUFFIN RD, SUITE 230, SAN DIEGO, CA 92123; NON-PROFIT NATIONWIDE SPEAKERS BUREAU; SPEAKER; 4/2/2025; 4HRS/MO; 4HRS/MO DURING SECURITIES TRADING HOURS; I HOST CLASSES AT LIBRARIES, HOSPITALS, COMPANIES, AND OTHER NON-PROFIT ORGANIZATIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Kris Brannon Lloyd JR's 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®
NoneExperience
Current
February 22, 2022 - Present
AE WEALTH MANAGEMENT, LLC
Office #1: 3555 Timmons Ln Ste 925, Houston, TX 77027RIA
CRD#: 282580
Houston, TX
Past
January 1, 2009 - January 29, 2010
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
January 2, 2004 - December 31, 2006
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
HOUSTON, TX
Past
November 11, 2002 - December 31, 2003
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
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".
AW
AE WEALTH MANAGEMENT, LLC
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(2/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
