Nicole Ferguson
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Years of Experience
8 years in the financial services industry
Current & Past Employments
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Current Firm
AE WEALTH MANAGEMENT, LLC
Contact Information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614Phone Number
(866) 363-9595# of Employees
630SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
282,995AUM (Assets Under Management)
$49,837,385,888Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(6/5/2023)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Ferguson's CRS (Customer Relationship Summary).
Similar Advisors
SECURITIES AMERICA, INC.
OSAIC WEALTH, INC.
MWA FINANCIAL SERVICES INC.
ALLSTATE FINANCIAL SERVICES, LLC
