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Scott Richard Carty

Scott R. Carty

AE WEALTH MANAGEMENT
Plymouth, MI 48170
Some features on this profile are disabled
CRD#: 4800449
Scott Richard Carty

Professional summary

Scott Richard Carty, CFP® is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Plymouth, Michigan.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Scott has worked at 11 firms and has passed the Series 63, Series 65, Series 66, SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Richard Carty'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®
CFP®

Certified Financial Planner

Start date: 2018

Experience

Current

December 1, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 41081 Ann Arbor Rd E, Plymouth, MI 48170
RIA
CRD#: 282580
Plymouth, MI
Past

April 29, 2021 - December 2, 2025

AE FINANCIAL SERVICES, LLC

BD
CRD#: 298608
Flint, MI
Past

April 28, 2021 - December 1, 2025

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

RIA
CRD#: 312989
LIVONIA, MI
Past

January 10, 2019 - April 29, 2021

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
LIVONIA, MI
Past

August 31, 2018 - April 29, 2021

SPC

RIA
CRD#: 110692
Flint, MI
Past

August 2, 2016 - October 31, 2018

CARTY CAPITAL MANAGEMENT

RIA
CRD#: 284563
LIVONIA, MI
Past

March 30, 2015 - August 4, 2016

INSIGHT FOLIOS

RIA
CRD#: 174411
LIVONIA, MI
Past

December 11, 2013 - April 20, 2015

RETIREMENTADVICE | JKA

RIA
CRD#: 153803
LIVONIA, MI
Past

May 8, 2013 - June 4, 2013

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
URBANDALE, IA
Past

November 9, 2012 - May 2, 2013

KALOS CAPITAL, INC.

BD
CRD#: 44337
PLYMOUTH, MI
Past

October 15, 2008 - November 12, 2012

INVESTACORP, INC.

BD
CRD#: 7684
PLYMOUTH, MI
Past

December 7, 2007 - October 15, 2008

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
PLYMOUTH, MI

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
Michigan
(12/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/7/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/22/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/11/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2019
General Securities Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts111,059
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.

Company Information

AE WEALTH MANAGEMENT, LLC

CRD#: 282580Plymouth, MI 48170

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