Adam R. Tau

AE WEALTH MANAGEMENT

Jersey City, NJ 07302

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CRD#: 5650371

Professional summary

Adam Richard Tau, who also goes by Adam R Tau, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Jersey City, New Jersey.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Adam has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam R Tau

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) - RIA

Click below to view Adam Richard Tau'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 10, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 101 Hudson Street 21st Floor, Jersey City, NJ, 07302Office #2: 800 Village Square Crossing, Suite 200, Palm Beach Gardens, FL 33410

RIA

CRD#: 282580

Jersey City, NJ

Past

February 24, 2020 - February 27, 2026

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

Jersey City, NJ

Past

February 19, 2020 - February 27, 2026

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Jersey City, NJ

Past

February 1, 2019 - February 21, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEW YORK, NY

Past

March 4, 2016 - February 1, 2019

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

New York, NY

Past

January 29, 2013 - December 22, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

April 5, 2010 - January 17, 2013

GARDEN STATE SECURITIES, INC.

CRD#: 10083

NEW YORK, NY

Past

June 17, 2009 - March 9, 2010

CHARLES MORGAN SECURITIES, INC.

CRD#: 138887

NEW YORK, NY

Past

March 23, 2009 - July 9, 2009

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(9/10/2025)

IAR

New Jersey
(9/15/2025)

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: 5/21/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/27/2009

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: 3/20/2009

General Securities Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Adam R. Tau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Richard Tau's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

CETERA WEALTH SERVICES, LLC

NORTH RIDGE SECURITIES CORP.

NYLIFE SECURITIES LLC

GARDEN STATE SECURITIES, INC.

CHARLES MORGAN SECURITIES, INC.

SPARTAN CAPITAL SECURITIES, LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2016

Series 63

Date: 3/27/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2009

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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