Brooke M. Garcia

AE WEALTH MANAGEMENT

Topeka, KS 66614

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CRD#: 6229394

Professional summary

Brooke Michal Garcia, who also goes by Brooke Michal Herren, Brooke Michal Mueller, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Topeka, Kansas and AE FINANCIAL SERVICES, LLC located in Lenexa, Kansas.

Brooke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brooke has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brooke Michal Herren | Brooke Michal Mueller

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) AE Wealth Management LLC POSITION: Associated Person NATURE: Investment Advice for fee INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE 11/2022 ADDRESS: 2950 SW McClure Road, Topeka, KS 66614 DESCRIPTION: Securities Sales and Services 2) Ambassador Financial POSITION: President/Founder NATURE: 501c3 loans INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 00 START DATE 04/2016 ADDRESS: 2400 W 78th St, Prairie Village, KS 66208 DESCRIPTION: Provides micro-loans to entrepreneurs in poverty. 3) B-Michael Leathercraft POSITION: Crafter NATURE: Handmade items for sale INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 00 START DATE 01/2018 ADDRESS: 2400 W 78th St, Prairie Village, KS 66208 DESCRIPTION: Leather crafting of wallets, bags, earrings, etc. 4.) CFA Society of Kansas City: POSITION: Board of Directors NATURE: Professional organization associated with CFA Institute INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2022 DESCRIPTION: I sit on the board, make decisions about programs and activities offered to members, and coordinate events for members.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Michal Garcia'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 8, 2022 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614

RIA

CRD#: 282580

Topeka, KS

Current

January 30, 2023 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 8801 Renner Blvd., Lenexa, KS 66219-9717Office #2: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614

CRD#: 298608

Lenexa, KS

Past

July 28, 2021 - November 14, 2022

ENDEX CAPITAL MANAGMENT LLC

RIA

CRD#: 109541

MERRIAM, KS

Past

July 20, 2021 - November 14, 2022

DEMARCHE

RIA

CRD#: 145851

MERRIAM, KS

Past

July 20, 2021 - November 14, 2022

DEMARCHE

RIA

CRD#: 105500

MERRIAM, KS

Past

September 16, 2020 - April 26, 2021

CBIZ INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 286002

Kansas City, MO

Past

July 29, 2019 - September 22, 2020

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, KS

Past

August 5, 2013 - September 8, 2017

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, 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".

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.

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

Kansas
(12/8/2022)

Kansas
(2/7/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/15/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/5/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Brooke M. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Michal Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE FINANCIAL SERVICES, LLC

ENDEX CAPITAL MANAGMENT LLC

DEMARCHE

DEMARCHE

CBIZ INVESTMENT ADVISORY SERVICES, LLC

SECURITY DISTRIBUTORS

SECURITY DISTRIBUTORS

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/2013

SIE

Date: 9/8/2017

Series 6

Date: 8/5/2013

FINRA

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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