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GH

Garrett W. Ho-shing

Some features on this profile are disabled
CRD#: 7875754
GH

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.

Garrett Wayne Ho-shing, who also goes by Garrett W Ho-shing, Garrett Wayne Ho-shing, Garrett Ho-shing, was a registered financial professional .

Garrett is a previously registered financial professional and started their career in finance in 2024. Garrett had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Garrett W Ho-Shing | Garrett Wayne Ho-Shing | Garrett Ho-Shing

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 1, 2025 - March 13, 2026

AE WEALTH MANAGEMENT, LLC

RIA
CRD#: 282580
Jacksonville, FL
Past

October 21, 2024 - February 18, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
PONTE VEDRA BEACH, FL
Past

June 25, 2024 - July 7, 2024

TRINITY WEALTH SECURITIES, L.L.C.

BD
CRD#: 104348
Jacksonville, FL
Past

February 29, 2024 - July 7, 2024

FLORIDA FINANCIAL ADVISORS, LLC

RIA
CRD#: 288811
Jacksonville, FL

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: 11/14/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/26/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/21/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/24/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2023
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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