Phillip S. Leonard

AE FINANCIAL SERVICES

High Point, NC 27262

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CRD#: 4906018

Professional summary

Phillip Scott Leonard is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in High Point, North Carolina.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2005. Phillip has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Phillip Scott Leonard'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

September 4, 2025 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 400 W English Rd Suite 223, High Point, NC 27262

CRD#: 298608

High Point, NC

Past

November 6, 2023 - June 24, 2025

CAPE SECURITIES INC.

CRD#: 7072

HIGH POINT, NC

Past

March 25, 2022 - November 3, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Thomasville, NC

Past

January 7, 2008 - March 3, 2022

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

THOMASVILLE, NC

Past

August 14, 2007 - November 28, 2007

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

February 28, 2005 - August 2, 2006

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

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

North Carolina
(9/4/2025)

Exams

State Security Law Exam

Series 63

Date: 3/3/2005

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: 1/4/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/25/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/3/2015

Investment Company Products/Variable Contracts 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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Phillip S. Leonard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Phillip Scott Leonard's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPE SECURITIES INC.

PURSHE KAPLAN STERLING INVESTMENTS

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/2005

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2013

Series 6

Date: 2/25/2005

Series 26

Date: 9/3/2015

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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