James C. Tassoni

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CRD#: 4883854

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.

James Carroll Tassoni, who also goes by Jim Tassoni, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2005. James had worked at 13 firms and has passed the Series 65, Series 66, Series 3, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Tassoni

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)

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

February 17, 2026 - March 6, 2026

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Grand Rapids, MI

Past

May 9, 2024 - February 26, 2026

ARMOR WEALTH STRATEGIES, LLC

RIA

CRD#: 330730

FARMINGTON HILLS, MI

Past

March 22, 2024 - August 27, 2024

MDRN CAPITAL

RIA

CRD#: 325950

Alto, MI

Past

February 19, 2019 - January 15, 2020

NORTH STAR INVESTMENT MANAGEMENT CORPORATION

RIA

CRD#: 117681

Kentwood, MI

Past

June 6, 2014 - January 10, 2017

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

KENTWOOD, MI

Past

October 4, 2012 - January 15, 2020

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

KENTWOOD, MI

Past

September 11, 2012 - October 1, 2012

MULTI-BANK SECURITIES, INC.

CRD#: 22098

SOUTHFIELD, MI

Past

August 19, 2011 - September 20, 2012

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

May 5, 2011 - October 2, 2012

WCM INVESTMENT MANAGEMENT

RIA

CRD#: 104702

LAGUNA BEACH, CA

Past

May 8, 2009 - October 6, 2010

CONFIDENTIAL MANAGEMENT FINANCIAL SERVICES, INC.

CRD#: 18214

TROY, MI

Past

August 22, 2007 - June 3, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BIRMINGHAM, MI

Past

April 2, 2007 - August 24, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BIRMINGHAM, MI

Past

April 2, 2007 - August 24, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

BIRMINGHAM, MI

Past

March 22, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BIRMINGHAM, MI

Past

January 1, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BIRMINGHAM, 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".

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 65

Date: 1/26/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 7/28/2018

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 1/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/27/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/23/2004

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

James C. Tassoni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARMOR WEALTH STRATEGIES, LLC

MDRN CAPITAL

NORTH STAR INVESTMENT MANAGEMENT CORPORATION

REGULUS FINANCIAL GROUP, LLC

REGAL INVESTMENT ADVISORS LLC

MULTI-BANK SECURITIES, INC.

WTS PROPRIETARY TRADING GROUP LLC

WCM INVESTMENT MANAGEMENT

CONFIDENTIAL MANAGEMENT FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2024

Series 66

Date: 3/18/2005

Series 3

Date: 7/28/2018

SIE

Date: 1/10/2017

Series 31

Date: 8/27/2005

Series 7

Date: 12/23/2004

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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