Aaron E. Schaben

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CRD#: 5156729

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"?

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)

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

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

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

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

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.

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".

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.

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 66

Date: 8/23/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2008

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CARSON GROUP INVESTING, LLC ADV PART 2A (3/12/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Aaron E. Schaben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CWM, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CARSON GROUP INVESTING

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2008

Current Firm

CARSON GROUP INVESTING

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARSON GROUP INVESTING

TRUST BUT VERIFY

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