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BG

Beth M. Garlick

AE WEALTH MANAGEMENT
Topeka, KS 66614
Some features on this profile are disabled
CRD#: 5898865
BG

Professional summary

Beth Michele Garlick, who also goes by Beth Michele Grosser, Beth Michele Ward, Beth Michele Ward-garlick, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Topeka, Kansas and AE FINANCIAL SERVICES, LLC located in Topeka, Kansas.

Beth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Beth has worked at 6 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Beth Michele Grosser | Beth Michele Ward | Beth Michele Ward-Garlick

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 Beth Michele Garlick'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 28, 2022 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614
RIA
CRD#: 282580
Topeka, KS
Current

September 28, 2022 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614
BD
CRD#: 298608
Topeka, KS
Past

October 22, 2019 - August 25, 2022

CREATIVEONE SECURITIES, LLC

BD
CRD#: 152974
OVERLAND PARK, KS
Past

August 20, 2019 - August 25, 2022

CREATIVEONE WEALTH, LLC

RIA
CRD#: 281213
OVERLAND PARK, KS
Past

August 8, 2016 - December 31, 2017

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

July 13, 2016 - December 31, 2017

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

April 1, 2015 - July 5, 2016

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
OVERLAND PARK, KS
Past

April 30, 2014 - July 5, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS

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

RR
Kansas
(9/28/2022)
IAR
Kansas
(9/28/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/20/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/2014
General Securities Representative Examination
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)
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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#: 282580Topeka, KS 66614

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