Tristan James Mott
Professional Summary
Tristan James Mott is a registered financial advisor currently at AE FINANCIAL SERVICES, LLC located in Topeka, Kansas. Tristan is registered as a RR (Registered Representative) and started their career in finance in 2022. Tristan has worked at 2 firms and has passed the Series 7TO and SIE 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
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
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
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
Current Firm
AE FINANCIAL SERVICES, LLC
Contact Information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614Mailing Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614Phone Number
(866) 363-9595Established
Kansas since 08/14/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AE FS HOLDINGS, LLC | OWNER | — |
| CALLANAN, DAVID JAMES | CHIEF EXECUTIVE OFFICER | 4237166 |
| GOCHENOUR, JOLENE KAY | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6728358 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHOLZ, SHAWN | PRESIDENT | 2891167 |
| WOLFE, DAVID ROBB | GENERAL COUNSEL AND SECRETARY | 6603373 |
Similar Advisors
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
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.
The advisor shows no other business activity.
Similar Advisors
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - BD
Click below to view Tristan James Mott's CRS (Customer Relationship Summary).
Similar Advisors
VANGUARD MARKETING CORPORATION
NYLIFE SECURITIES LLC
MORGAN STANLEY
UBS FINANCIAL SERVICES INC.