AS
Aaron E. Schaben
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CRD#: 5156729
AS
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.
Aaron Eugene Schaben was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2008. Aaron had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
(1) NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH MANAGEMENT GROUP, CARSON GROUP PARTNERS AND CARSON GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 01/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 (2) NAME OF OTHER BUSINESS: CARSON WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2011 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORK WITH PARTNERS TO BRING NEW STRATEGIES, ENHANCE COMMUNICATIONS, IMPROVE CLIENT EDUCATION AND DRIVE TRANSPARENCY FOR CLIENTS (3) NAME OF OTHER BUSINESS: PEAK ADVISOR ALLIANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2014 POSITION/TITLE/RELATIONSHIP: OWNER AND MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: MANAGEMENT AND COACHING (4) NAME OF OTHER BUSINESS: CARSON GROUP BROKERAGE ORIA CARSON GROUP INVESTING, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 5/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT (5) NAME OF OTHER BUSINESS: CARSON GROUP BROKERAGE, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIMITED PURPOSE BROKER DEALER START DATE: 06/2018 POSITION/TITLE/RELATIONSHIP: DIRECT OWNER LESS THAN ONE HOUR PER WEEK, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING OVERRIDES PAID TO BD AND COMPLIANCE WITH OVERALL MAINTENANCE OF THE BD WITH FINRA. (6) NAME OF OTHER BUSINESS: FINSERV FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: 14600 BRANCH STREET, OMAHA NE, 68154 ; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 11/2020 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: MANAGE DAY-TO-DAY OPERATIONS. RESPONSIBLE FOR FUNDS AND SECURITIES OF CORPORATION ; (7) NAME OF OTHER BUSINESS: SEEKER 77 WOOD ROAD 606, LLC ; INVESTMENT RELATED: NO; ADDRESS: 1616 S 187TH CIRCLE OMAHA,NE 68130; NATURE OF BUSINESS: REAL ESTATE; START DATE: 9/2021; POSITION/TITLE/RELATIONSHIP: MANAGER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: DIRECTING, MANAGING AND CONTROLLING THE BUSINESS OF THE COMPANY; (8) NAME OF OTHER BUSINESS: SEEKER HOLDINGS, LLC INVESTMENT RELATED: NO; ADDRESS: 1616 S 187TH CIRCLE OMAHA,NE 68130; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 9/2021; POSITION/TITLE/RELATIONSHIP: MANAGER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: DIRECTING, MANAGING AND CONTROLLING THE BUSINESS OF THE COMPANY;
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
July 9, 2018 - January 2, 2025
CARSON GROUP INVESTING
RIA
CRD#: 291744
OMAHA, NE
Past
January 17, 2017 - June 24, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OMAHA, NE
Past
July 19, 2012 - January 2, 2025
CWM, LLC
RIA
CRD#: 155344
OMAHA, NE
Past
July 11, 2012 - January 19, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
OMAHA, NE
Past
November 13, 2009 - August 12, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
OMAHA, NE
Past
November 6, 2009 - August 12, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
OMAHA, NE
Past
September 11, 2008 - October 6, 2009
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
OMAHA, NE
Past
August 12, 2008 - October 6, 2009
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
OMAHA, NE
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".
CG
CARSON GROUP INVESTING
CARSON GROUP INVESTING | CARSON INVESTING | CARSON GROUP INVESTING, LLC
CRD#: 291744 / SEC#: 801-113561
RIA
Registered Investment Advisory firm - (7/9/2018 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
CG
CARSON GROUP INVESTING
CARSON GROUP INVESTING | CARSON INVESTING | CARSON GROUP INVESTING, LLC
CRD#: 291744 / SEC#: 801-113561
RIA
Registered Investment Advisory firm - (7/9/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14600 Branch St., Omaha, NE 68154
Mailing Address
Phone number
(402) 334-6270
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,187 |
| AUM (Assets Under Management) | $ 1,781,011,675 |
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.
