Lisa L. Becker

AE WEALTH MANAGEMENT

Topeka, KS 66614

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CRD#: 4857404

Professional summary

Lisa L Becker, who also goes by Lisa Lynn Becker, Lisa Foxworthy, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Topeka, Kansas and AE FINANCIAL SERVICES, LLC located in Topeka, Kansas.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Lisa has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Lynn Becker | Lisa Foxworthy

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.

NAME: AE WEALTH MANAGEMENT; INV RELATED:YES; ADDRESS:2950 SW MCCLURE ROAD TOPEKA, KS 66614; NATURE: RIA; POSITION:TRANSITION CONSULTANT; START DATE:04/2017; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES: ASSIST ADVISORS IN MOVING CLIENT ACCOUNTS TO AE WEALTH MANAGEMENT AND MADISON AVENUE SECURITIES, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa L Becker'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®

None

Experience

Current

November 1, 2023 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 2950 Sw Mcclure Road, Topeka, KS 66614

RIA

CRD#: 282580

Topeka, KS

Current

September 15, 2020 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614

CRD#: 298608

Topeka, KS

Past

February 14, 2018 - November 12, 2018

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Topeka, KS

Past

September 9, 2014 - April 11, 2017

GRADIENT SECURITIES, LLC

CRD#: 127701

Topeka, KS

Past

July 9, 2010 - September 10, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

TOPEKA, KS

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(9/15/2020)

IAR

Kansas
(11/1/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/8/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Lisa L. Becker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa L Becker's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE FINANCIAL SERVICES, LLC

MADISON AVENUE SECURITIES, LLC

GRADIENT SECURITIES, LLC

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2023

Series 63

Date: 6/11/2010

SIE

Date: 10/1/2018

Series 6

Date: 7/8/2010

FINRA

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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