AT
Adam R. Tau
MADISON AVENUE SECURITIES
Palm Beach Gardens, FL 33410
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CRD#: 5650371
AT
Professional summary
Adam Richard Tau, who also goes by Adam R Tau, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Palm Beach Gardens, Florida and AE WEALTH MANAGEMENT, LLC located in Jersey City, New Jersey.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
1) ADVISORS EXCEL; INV RELATED:YES; 2950 SW MCCLURE ROAD, TOPEKA, KS 66614; INSURANCE PRODUCTS OFFERED THROUGH AE, CREATIVE SERVICES PROVIDED BY AE; INSURANCE AGENT; 08/2018; HOURS/MONTH:40; TRADING HOURS/MONTH:40; DUTIES:INSURANCE SALES. 2) WC HOOVER & CO, LLC; INV RELATED: NO; 22 RAILROAD AVENUE, SUITE 3 SAYVILLE, NY 11782; PROVIDE SMALL BUSINESSES HEALTH INSURANCE; 33% DIRECTOR; 05/2018; HOURS/MONTH: LESS THAN 4; TRADING HOURS/MONTH: 0; DUTIES: DIRECTOR OF ORGANIZATION 3) BARTAU, LLC; INV RELATED: NO; 1212 WOODROW ROAD STATEN ISLAND, NY 10309; RENTAL PROPERTY. LLC WAS FORMED TO HELP ORGANIZE INCOME AND EXPENSES NEEDED TO PURCHASE A HOME IN POCONOS IN PA; 25% PARTNER; 08/2019; HOURS/MONTH: LESS THAN 4; TRADING HOURS/MONTH: 0; DUTIES: INVOLVEMENT AND CONTRIBUTION WAS FINANCIAL ONLY. 4) DYNAMIC WEALTH STRATEGIES, INC.; INV RELATED: YES; 800 VILLAGE SQUARE CROSSING, SUITE 220, PALM BEACH GARDENS, FL 33410; LIFE INSURANCE, ANNUITIES, SECURITIES, FEE-BASED WEALTH MANAGEMENT; 50% PARTNER; 01/2019; HOURS/MONTH: 200; TRADING HOURS/MONTH: 200; DUTIES: OFFICER OF THE CORPORATION. FINANCIAL ADVISOR WITHIN THE PRACTICE. SOLICITING, MEETING WITH PROSPECTS AND GIVING FINANCIAL AND INVESTMENT ADVICE. 5) THE BACKUP, LLC; INV RELATED: NO; 550 VANDERBILT AVE #1103 BROOKLYN NY 11238; ECOMMERCE STORE; OWNER; 10/2021; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; DUTIES: OWNER, HIRING THIRD PARTY COMPANY EXPANSION B2B TO RUN AND MANAGE ECOMMERCE STORE. 6) EKMT, LLC; INV RELATED: NO; 199 WATER ST, NY, NY 10038; ECOMMERCE STORE; CO-OWNER WITH WIFE; 07/2022; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; DUTIES: OWNER, HIRING THIRD PARTY COMPANY SCALING GROUP TO RUN AND MANAGE ECOMMERCE STORE. 7) REMBO ENTERPRIZES LLC; INV RELATED: NO; 508 CATANIA LANE, POINCIANA, FL 34759; ECOMMERCE STORE; CO-OWNER WITH FATHER-IN-LAW; 07/2022; HOURS/MONTH: 0; TRADING HOURS/MONTH: 0; DUTIES: OWNER, HIRING THIRD PARTY COMPANY SCALING GROUP TO RUN AND MANAGE ECOMMERCE STORE.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Richard Tau's 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®
NoneExperience
Current
February 24, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 800 Village Square Crossing Suite 220, Palm Beach Gardens, FL 33410Office #2: 101 Hudson Street 21st Floor, Jersey City, NJ, 07302RIA
BD
CRD#: 23224
Palm Beach Gardens, FL
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 33410RIA
CRD#: 282580
Jersey City, NJ
Current
February 19, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 800 Village Square Crossing Suite 220, Palm Beach Gardens, FL 33410Office #2: 101 Hudson Street 21st Floor, Jersey City, NJ, 07302RIA
BD
CRD#: 23224
Palm Beach Gardens, FL
Past
February 1, 2019 - February 21, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEW YORK, NY
Past
March 4, 2016 - February 1, 2019
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
New York, NY
Past
January 29, 2013 - December 22, 2015
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
April 5, 2010 - January 17, 2013
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
NEW YORK, NY
Past
June 17, 2009 - March 9, 2010
CHARLES MORGAN SECURITIES, INC.
BD
CRD#: 138887
NEW YORK, NY
Past
March 23, 2009 - July 9, 2009
SPARTAN CAPITAL SECURITIES, LLC
BD
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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(2/24/2020)
RR
Connecticut(3/5/2020)
RR
Florida(1/7/2021)
IAR
Florida(8/5/2025)
RR
Maryland(2/20/2020)
RR
New Jersey(3/13/2020)
IAR
New Jersey(9/15/2025)
RR
New York(3/4/2020)
IAR
New York(2/18/2025)
RR
Pennsylvania(2/20/2020)
IAR
Pennsylvania(2/24/2020)
RR
Rhode Island(4/9/2021)
IAR
Texas(2/20/2025)
RR
Washington(3/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
