AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JC

Jia H. Chen

CRD#: 7062499
Some features on this profile are disabled
JC
Jia H Chen

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jia H Chen was a registered financial professional .

Jia is a previously registered financial professional and started their career in finance in 2019. Jia had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 14, 2025 - June 16, 2026

AE WEALTH MANAGEMENT, LLC

RIA
CRD#: 282580
Warwick, RI
Past

April 8, 2024 - March 25, 2025

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
Providence, RI
Past

April 22, 2022 - April 12, 2024

TLG ADVISORS, INC.

RIA
CRD#: 111052
San Francisco, CA
Past

April 6, 2022 - April 12, 2024

THE LEADERS GROUP, INC.

BD
CRD#: 37157
San Francisco, CA
Past

September 17, 2019 - June 7, 2021

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA
CRD#: 174433
BOSTON, MA
Past

September 12, 2019 - June 7, 2021

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

April 24, 2019 - June 13, 2019

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
ALBANY, NY
Past

February 12, 2019 - June 13, 2019

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA
CRD#: 106693
ALBANY, NY

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".
AW
AE WEALTH MANAGEMENT, LLC
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/12/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/12/2019
Securities Industry Essentials Examination

Current Firm

AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA
Registered Investment Advisory firm - (2/17/2016 Approved)
Loading...

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 Accounts111,059
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.

Company Information

AE WEALTH MANAGEMENT, LLC

CRD#: 282580

TRUST BUT VERIFY

Monitor Jia Chen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
HELENA, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
ESTERO, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.