Thomas R. Wareing

AE WEALTH MANAGEMENT

Peoria, AZ 85382

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CRD#: 6679995

Professional summary

Thomas Robert Wareing, CFP®, who also goes by Thomas Wareing, Tom Robert Wareing, Tom Wareing, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Peoria, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Wareing | Tom Robert Wareing | Tom Wareing

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.

Bergen Financial Group/ Clear Solutions LLC; Yes, Investment Related; 8765 Kelton Ln. Peoria, AZ 85382; Insurance Sales; Financial Advisor; Start Date 7/25; Approx. 140 hours a month; Approx. 80 hours during trading; Insurance Sales and Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Robert Wareing'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

July 21, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 8765 W Kelton Ln Bldg C2, Peoria, AZ 85382

RIA

CRD#: 282580

Peoria, AZ

Past

October 11, 2018 - July 24, 2025

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

August 1, 2016 - July 24, 2025

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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

Arizona
(8/1/2025)

IAR

Texas
(7/21/2025)

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: 10/5/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/2016

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: 8/1/2016

General Securities Representative 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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Firm Stability Insights

Thomas R. Wareing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Robert Wareing's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2018

Series 63

Date: 8/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/1/2016

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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