AW
Ann L. Werts
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CRD#: 5057784
AW
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.
Ann Louise Werts, who also goes by Ann Louise Gilmore, Ann Louise Howard, Ann Louise Vanderslice, Ann Vanderslice, Ann L Werts, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 2006. Ann had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ann Louise Gilmore | Ann Louise Howard | Ann Louise Vanderslice | Ann Vanderslice | Ann L Werts
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.
1.) LTCPro, LLC DBA FEDERAL BENEFITS MADE SIMPLE AN E.A. BUCK COMPANY; INVESTMENT RELATED: YES; 1 DENVER FEDERAL CENTER BUILDING 45 ROOM 1050 ENTRANCE E9, LAKEWOOD, CO; FINANCIAL PLANNING, ANALYZE CLIENTS INVESTMENTS AND MAKE RECOMMENDATIONS, SELL FINANCIAL PRODUCTS SUITABLE AND INLINE WITH THEIR GOALS. START DATE: 08/2002; HOURS/MONTH: 160; TRADING HOURS/MONTH: 140; POSITION: OWNER; DUTIES: DOING PRESENTATIONS FOR FEDERAL EMPLOYEES ON THEIR BENEFITS AND PROVIDING EDUCATIONAL SEMINARS THROUGH THE DBA, ANALYZE CLIENTS BENEFITS AND INVESTMENTS AND MAKE RECOMMENDATIONS. OFFER FINANCIAL PRODUCTS INLINE WITH CLIENTS ESTABLISHED GOALS AND INSURANCE SALES . 2.) NAME: MDV ENTERPRISES, INC; INVESTMENT RELATED: NO; ADDRESS: 1 DENVER FEDERAL CENTER BUILDING 45 ROOM 1050 ENTRANCE E9, LAKEWOOD, CO; NATURE:CONSULTING ON STUDENT LOAN FORGIVENESS AND LONG TERM CARE FACILITY PLANNING ; POSITION: PRESIDENT/OWNER; START DATE: 12/15/2014; HOURS/MONTH: 2; TRADING HOURS/MONTH 2; DUTIES: DETERMINING MARKETING ACTIVITIES THAT WILL PROMOTE THE ANN VANDERSLICE BRAND. 3.) NAME: FEDERAL BENEFITS MADE SIMPLE (INSTRUCTOR); INVESTMENT RELATED: NO; ADDRESS: 1 DENVER FEDERAL CENTER BUILDING 45 ROOM 1050 ENTRANCE E9, LAKEWOOD, CO; NATURE: PRESENTATION OF FEDERAL BENEFITS THROUGH WORKSHOPS AND WEBINARS TO FEDERAL EMPLOYEES AND AGENCIES; POSITION: OWNER/MANAGER; START DATE: 12/2020; HOURS/MONTH: 20; TRADING HOURS/MONTH: 15; DUTIES: CREATING AND DELIVERING PROGRAMS ON FEDERAL BENFITS TO FEDERAL EMPLOYEES. CREATING HANDOUTS AND MATERIALS TO GO ALONG WITH SUCH PROGRAMS. 4.) NAME: INTERNATIONAL MEDICAL RELIEF; INVESTMENT RELATED: NO; ADDRESS: LAKEWOOD, CO; NATURE: NON-PROFIT ORGANIZATION THAT PROVIDES ACCESS TO TRIPS FOR MEDICAL PROFESSIONALS TO 3RD WORLD COUNTRIES; POSITION: BOARD MEMBER; START DATE: 2002; HOURS/MONTH: 0; DUTIES: ATTEND REGULAR BOARD MEETINGS AND GENERAL REVIEW OF ORGINAIZATIONS ACTIVITES. 5.) NAME: JCM ENTERPRISES; INVESTMENT RELATED: NO; ADDRESS: LAKEWOOD, CO; NATURE: HOLDS RESERVES OF CAPTIVE INSURANCE; POSITION: PLACE HOLDER FOR NAME WE USED IN COMPANY TITLE; START DATE: 2015; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; DUTIES: BONDHOLDER OF RESERVES FROM CAPTIVE INSURANCE 6.) NAME: MADISON AVENUE SECURITIES, LLC; YES INVESTMENT RELATED; 13500 EVENING CREEK DR. N. STE 555, SAN DIEGO, CA 92128; BROKER DEALER; REGISTERED REPRESENTATIVE; START DATE 04/2021; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; SECURITIES SALES AND SERVICES. 7.) NAME: AEWM; INV RELATED: YES; ADDRESS: 2950 SOUTHWEST MCCLURE RD. TOPEKA, KS 66614; NATURE: INVESTMENT ADVICE FOR A FEE; POSITION: IAR; START DATE: 12/2019; HOURS/MONTH: 160; TRADING HOURS/MONTH: 160; DUTIES: INVESTMENT ADVISER REPRESENTATIVE 8.) NAME: ADVISORS EXCEL; INV RELATED: YES; ADDRESS: 2950 SOUTHWEST MCCLURE RD. TOPEKA, KS 66614; NATURE: INSURANCE PRODUCTS OFFERED THROUGH AE, CREATIVE SERVICES PROVIED BY AE; POSITION: INSURANCE AGENT; START DATE:12/2019; HOURS/MONTH: 160; TRADING HOURS/MONTH: 160; DUTIES: INSURANCE SALES 9.) NAME: RETIREMENT INCOME PLANNING STRATEGIES, LLC; INV RELATED: NO; ADDRESS: LAKEWOOD, CO; NATURE: PLACEHOLDER FOR NAME WE USED IN COMPANY TITLE; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; START DATE: 2015 10.) NAME: TAYTOR ENTERPRISES, LLC; INV RELATED: NO; NATURE: LLC FOR CHARITABLE GIVING PLAN; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; START DATE: 11/2021 11.) NAME:RDAW ENTERPRISES LP; INV RELATED: NO; NATURE: LLC FOR CHARITABLE GIVING PLAN; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; START DATE: 11/2021
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®
NoneExperience
Past
April 7, 2021 - July 26, 2024
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Lakewood, CO
Past
April 6, 2021 - April 1, 2024
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Lakewood, CO
Past
July 12, 2013 - April 13, 2021
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
DENVER, CO
Past
October 27, 2011 - October 16, 2012
TITAN SECURITIES
RIA
CRD#: 131392
DENVER, CO
Past
May 6, 2011 - May 25, 2011
TITAN SECURITIES
BD
CRD#: 131392
PLANO, TX
Past
January 4, 2010 - August 2, 2013
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
DENVER, CO
Past
May 29, 2009 - April 20, 2021
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
DENVER, CO
Past
April 27, 2009 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
BD
CRD#: 42794
LAKEWOOD, CO
Past
October 31, 2008 - April 2, 2009
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LAKEWOOD, CO
Past
October 31, 2008 - April 2, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAKEWOOD, CO
Past
August 24, 2006 - October 30, 2008
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
DENVER, CO
Past
August 21, 2006 - October 30, 2008
COMMUNITY BANKERS SECURITIES, LLC
BD
CRD#: 42794
LAKEWOOD, CO
Past
July 11, 2006 - August 28, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
HIGHLANDS RANCH, CO
Past
March 6, 2006 - August 28, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
HIGHLANDS RANCH, CO
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
