Carina K. Smaus

AE WEALTH MANAGEMENT

Lincoln, NE 68516

Some features on this profile are disabled

CRD#: 6706114

Professional summary

Carina K Smaus, who also goes by Carina K Smaus, Carina Kay Smaus, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Lincoln, Nebraska and GREAT POINT CAPITAL LLC located in Lincoln, Nebraska.

Carina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Carina has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carina K Smaus | Carina Kay Smaus

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. Shunkwiler Financial; Yes, Investment Related; 6301 S 58th St, Lincoln, NE 68516; Insurance Sales; POSITION Advisor; Start Date 09/2021; Approx. 120 hours a month; Approx. 120 hours during trading; Insurance Sales and Services. 2. AE Wealth Management LLC; Yes, Investment Related; 2950 SW McClure Road, Topeka, KS 66614; Investment Advisor Representative Investment Advice for fee; Start Date 07/2025; Approx. 160 hours a month; Approx. 160 hours during trading; Securities Sales and Services 3. Great Point Capital, LLC; 200 W Jackson Blvd, Ste 1000, Chicago, IL 60606; Yes, Investment Related; Broker Dealer; Registered Representative; Start Date 06/2025; Approx.160 hours a month; Approx. 160 during trading; Securities Sales and Services 4. Smaus Farms, LLC; Not Investment Related; David City, NE 68632; Family Farm; Position: Limited Partner; Approx. 0 hours a month; Approx. 0 hours during trading; Family Farm Land.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carina K Smaus'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

July 14, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 6301 S. 58th St., Lincoln, NE 68516

RIA

CRD#: 282580

Lincoln, NE

Current

June 9, 2025 - Present

GREAT POINT CAPITAL LLC

Office #1: 6301 South 58th Street, Lincoln, NE 68516Office #2: 900 South 75th Street, Omaha, NE 68114

CRD#: 114203

Lincoln, NE

Past

April 12, 2022 - June 11, 2025

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

LINCOLN, NE

Past

April 11, 2022 - June 11, 2025

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

LINCOLN, NE

Past

July 15, 2021 - September 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LINCOLN, NE

Past

December 22, 2016 - September 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LINCOLN, NE

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

Iowa
(6/9/2025)

Nebraska
(6/9/2025)

IAR

Nebraska
(7/14/2025)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 7/14/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/11/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/12/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/22/2016

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Robert Wyrick, Jr.

POST OAK PRIVATE WEALTH ADVISORS

IAR

Houston, TX

Charles Helme

BH ASSET MANAGEMENT, LLC

IAR

New York, NY

Gerald Jevic

OPPENHEIMER & CO. INC.

IAR

Haddon Township, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carina K. Smaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carina K Smaus's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT POINT CAPITAL LLC

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2021

Series 63

Date: 5/11/2017

Series 7TO

Date: 5/12/2021

SIE

Date: 10/1/2018

Series 6

Date: 12/22/2016

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

Similar Advisors