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ST

Stacy A. Tomlinson

AE FINANCIAL SERVICES
Topeka, KS 66614
Some features on this profile are disabled
CRD#: 5201410
ST

Professional summary

Stacy Ann Tomlinson, who also goes by Satcy Ann Tomlinson, is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in Topeka, Kansas.

Stacy is registered as a RR (Registered Representative) and started their career in finance in 2015. Stacy has worked at 3 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Satcy Ann Tomlinson

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 Stacy Ann Tomlinson'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

April 15, 2022 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 4125 Sw Gage Center Dr, Topeka, KS 66614Office #2: 8801 Renner Blvd., Lenexa, KS 66219-9717
BD
CRD#: 298608
Topeka, KS
Past

January 5, 2016 - October 8, 2019

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

January 1, 2015 - August 24, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AE FINANCIAL SERVICES, LLC
AE FINANCIAL SERVICES, LLC

CRD#: 298608 / SEC#: , 8-70214

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AE FS HOLDINGS, LLCOWNER
CALLANAN, DAVID JAMESCHIEF EXECUTIVE OFFICER4237166
GOCHENOUR, JOLENE KAYFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER6728358
PIERSON, MELISSA KAYCHIEF COMPLIANCE OFFICER1685017
SCHOLZ, SHAWNPRESIDENT2891167
WOLFE, DAVID ROBBGENERAL COUNSEL AND SECRETARY6603373

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.

Company Information

AE FINANCIAL SERVICES, LLC

CRD#: 298608Topeka, KS 66614

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