Nicole Ferguson

AE WEALTH MANAGEMENT

Topeka, KS 66614

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CRD#: 6992407

Professional summary

Nicole Ferguson is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Topeka, Kansas and AE FINANCIAL SERVICES, LLC located in Topeka, Kansas.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicole has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.) NAME: AE WEALTH MANAGEMENT; INV RELATED:YES; ADDRESS:2950 SW McCLURE ROAD, TOPEKA, KS 66614; NATURE: RIA; POSITION: Associated Person; START DATE:07/01/2018; HOURS/MONTH:160; TRADING HOURS/MONTH: 160 2.) AE FINANCIAL SERVICES, LLC POSITION: ASSOCIATED PERSON NATURE: BROKER DEALER INVESTMENT RELATED: YES; NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE 05/2019 ADDRESS: 2950 SW MCCLURE ROAD, TOPEKA, KS 66614

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Ferguson'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

June 6, 2023 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 4125 Sw Gage Center Dr., Topeka, KS 66614

RIA

CRD#: 282580

Topeka, KS

Current

October 11, 2019 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 4125 Sw Gage Center Dr, Topeka, KS 66614

CRD#: 298608

Topeka, KS

Past

September 24, 2018 - November 13, 2018

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

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

Kansas
(6/5/2023)

IAR

Kansas
(6/6/2023)

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

IAR

Series 66

Date: 6/5/2023

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/11/2019

General Securities Principal 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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Nicole Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE FINANCIAL SERVICES, LLC

MADISON AVENUE SECURITIES, LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2018

Series 24

Date: 6/11/2019

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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