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AH

Andrew J. Harmon

AE WEALTH MANAGEMENT
North Smithfield, RI 02896
Some features on this profile are disabled
CRD#: 5692505
AH

Professional summary

Andrew Jared Harmon, who also goes by Andrew Harmon, Aj Harmon, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in North Smithfield, Rhode Island.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Andrew has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew Harmon | Aj Harmon

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 Andrew Jared Harmon'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 12, 2023 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 176 Eddie Dowling Hwy Unit 202, North Smithfield, RI 02896
RIA
CRD#: 282580
North Smithfield, RI
Past

June 2, 2020 - September 11, 2023

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA
CRD#: 175083
North Smithfield, RI
Past

March 25, 2011 - December 31, 2012

PFS INVESTMENTS INC.

BD
CRD#: 10111
W. BRIDGEWATER, MA
Past

October 8, 2009 - December 31, 2010

PFS INVESTMENTS INC.

BD
CRD#: 10111
W. BRIDGEWATER, MA

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.

Highlighted states indicate IAR registrations

IAR
Rhode Island
(9/12/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/24/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/7/2009
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

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

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 Accounts111,059
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.

Company Information

AE WEALTH MANAGEMENT, LLC

CRD#: 282580North Smithfield, RI 02896

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