Andrew C. Maupin

AE FINANCIAL SERVICES

Lenexa, KS 66219-9717

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CRD#: 4772122

Professional summary

Andrew Clinton Maupin, CIMA®, who also goes by Andrew C Maupin, Andrew Maupin, is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in Lenexa, Kansas.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew C Maupin | Andrew Maupin

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 Andrew Clinton Maupin'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 11, 2025 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 8801 Renner Blvd., Lenexa, KS 66219-9717

CRD#: 298608

Lenexa, KS

Past

March 14, 2023 - June 12, 2025

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

April 6, 2022 - December 20, 2022

CREATIVEONE SECURITIES, LLC

CRD#: 152974

OVERLAND PARK, KS

Past

January 24, 2011 - April 21, 2021

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

January 24, 2011 - April 30, 2021

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

May 11, 2004 - January 4, 2011

EDWARD JONES

CRD#: 250

GLADSTONE, MO

State Registrations and Notice Filings

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

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

Kansas
(7/11/2025)

Missouri
(7/11/2025)

Exams

State Security Law Exam

Series 63

Date: 5/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AE FINANCIAL SERVICES, LLC

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

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

Name	Position	CRD#
AE FS HOLDINGS, LLC	OWNER
CALLANAN, DAVID JAMES	CHIEF EXECUTIVE OFFICER	4237166
GOCHENOUR, JOLENE KAY	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	6728358
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
SCHOLZ, SHAWN	PRESIDENT	2891167
WOLFE, DAVID ROBB	GENERAL COUNSEL AND SECRETARY	6603373

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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Firm Stability Insights

Andrew C. Maupin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Clinton Maupin's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCORR DISTRIBUTORS, LLC

CREATIVEONE SECURITIES, LLC

WADDELL & REED

IVY DISTRIBUTORS, INC.

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2004

Series 24

Date: 5/27/2016

FINRA

Current Firm

AE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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