Samuel S. Shober

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CRD#: 5704856

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.

Samuel Scobel Shober, who also goes by Sam Shober, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2010. Samuel had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Shober

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. Freedom Financial Group; Yes, Investment Related; 2057 Valleydale Rd, Ste 200, Birmingham, AL 35244; Insurance Sales; POSITION Agent; Start Date 07/2025; Approx. 0 hours a month; Approx. 0 hours during trading; Insurance Sales and Services. 2. Samuel Shober; Not Investment Related; 2440 Mountain Vista Dr., Vestavia Hills, AL 35243; Entertainment; Position: Musician; Start Date: 01/2000; Approx 4 hours a month; Approx. 0 hours during trading; Music Performance/ Entertainment for events.

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 1, 2025 - September 16, 2025

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Birmingham, AL

Past

August 7, 2024 - January 24, 2025

IP FINANCIAL ADVISORY SERVICES LLC

RIA

CRD#: 305772

Burmingham, AL

Past

January 19, 2024 - December 11, 2024

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

November 8, 2021 - January 23, 2024

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

August 19, 2019 - November 9, 2021

SYNOVUS SECURITIES, INC.

RIA

CRD#: 14023

BIRMINGHAM, AL

Past

August 19, 2019 - November 9, 2021

SYNOVUS SECURITIES, INC.

CRD#: 14023

BIRMINGHAM, AL

Past

November 1, 2018 - August 9, 2019

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MOBILE, AL

Past

April 14, 2017 - August 9, 2019

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MOBILE, AL

Past

July 29, 2016 - March 27, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

VESTAVIA HILLS, AL

Past

October 2, 2013 - February 24, 2016

NYLIFE SECURITIES LLC

CRD#: 5167

BIRMINGHAM, AL

Past

December 7, 2010 - January 16, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

BIRMINGHAM, AL

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.

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: 10/31/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/14/2011

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: 3/2/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/10/2013

Investment Company Products/Variable Contracts Principal 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

Samuel S. Shober

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IP FINANCIAL ADVISORY SERVICES LLC

INNOVATION PARTNERS LLC

SAYBRUS EQUITY SERVICES, LLC

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

SECURITIES AMERICA, INC.

NYLIFE SECURITIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2018

Series 63

Date: 1/14/2011

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2017

Series 6

Date: 12/6/2010

Series 26

Date: 12/10/2013

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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