Steven P. Kao

AE WEALTH MANAGEMENT

Coconut Creek, FL 33073

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CRD#: 6199756

Professional summary

Steven P Kao, who also goes by Steven Peter Kao, Steven Kao, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Coconut Creek, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Steven has worked at 5 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 56 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Peter Kao | Steven Kao

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 Steven P Kao'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

December 16, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 5350 W Hillsboro Blvd Ste 103, Coconut Creek, FL 33073

RIA

CRD#: 282580

Coconut Creek, FL

Past

October 28, 2021 - June 21, 2022

SPC

RIA

CRD#: 110692

Austin, TX

Past

October 28, 2021 - June 21, 2022

SIGMA FINANCIAL CORPORATION

CRD#: 14303

AUSTIN, TX

Past

January 7, 2019 - November 19, 2021

MORGAN STANLEY

RIA

CRD#: 149777

Austin, TX

Past

December 20, 2018 - November 19, 2021

MORGAN STANLEY

CRD#: 149777

Austin, TX

Past

July 1, 2013 - August 26, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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
(12/18/2025)

IAR

Texas
(12/16/2025)

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 65

Date: 12/8/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/7/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/20/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 6/29/2013

Proprietary Trader Qualification 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

Steven P. Kao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven P Kao's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

SIGMA FINANCIAL CORPORATION

MORGAN STANLEY

MORGAN STANLEY

WTS PROPRIETARY TRADING GROUP LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2025

Series 66

Date: 1/7/2019

Series 7TO

Date: 12/20/2018

SIE

Date: 12/15/2018

Series 56

Date: 6/29/2013

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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