Tony D. Argo
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.
Tony Dwayne Argo, who also goes by Tony Argo, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 2024. Tony had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2025 - February 5, 2026
AE FINANCIAL SERVICES, LLC
May 28, 2025 - January 30, 2026
TERRA WEALTH
October 21, 2024 - May 16, 2025
INSPIRE ADVISORS, LLC
June 3, 2024 - September 20, 2024
PRINCIPAL SECURITIES, INC.
May 15, 2024 - September 20, 2024
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/15/2024
General Securities Representative ExaminationCurrent Firm
AE FINANCIAL SERVICES, LLC
CRD#: 298608 / SEC#: , 8-70214
Contact information
FINRA licenses (51 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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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