Kathleen A. Nolan

AE WEALTH MANAGEMENT

Bluffton, SC 29910

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CRD#: 859895

Professional summary

Kathleen Anne Nolan, who also goes by Kathleen Anne Sullivan, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Bluffton, South Carolina.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Kathleen has worked at 10 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Anne Sullivan

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.

1. FAMILY FOCUS FINANCIAL GROUP. INVESTMENT RELATED. 3350 HIGHWAY 138, BLDG. 1, SUITE 111, WALL, NJ 07719. PRESIDENT/OWNER. START DATE 01/2007. FIXED INSURANCE SALES. 140 HOURS/WEEK, 140 HOURS DURING TRADING. 2. Sage Tuition Rewards. Not investment related 3350 HIGHWAY 138, BLDG. 1, SUITE 111, WALL, NJ 07719. Marketing Director/ Sage Tuition Rewards is Reported twice a year. Start Date 12/2/2020. 3. Real Estate Rental Property; Investment Related: No; 176 Argent, Bluffton SC 29909; Rental Property; Position: Owner; Start Date 10/2022; Approx hours per month: 2; Approx hours during trading: 0; Rental Property. 4. Family Focus Private Wealth, LLC; Yes, Investment Related; 7 Carroll Court, Bluffton SC 29910; Advisory Commissions; Founder/Co-Owner; Start Date: 09/2025; Approx hours per month: 4; Approx hours during trading: 4.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Nolan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 7, 2017 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 7 Carroll Ct, Bluffton, SC 29910Office #2: 3350 State Route 138 Ste 112, Wall, NJ 07719Office #3: 3350 Highway 138 Ste 111, Wall, NJ 07719

RIA

CRD#: 282580

Bluffton, SC

Past

May 4, 2012 - March 3, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

WALL, NJ

Past

July 27, 2011 - May 4, 2012

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

JACKSON, NJ

Past

December 2, 2009 - August 26, 2011

REAP FINANCIAL GROUP, LLC

RIA

CRD#: 144560

JACKSON, NJ

Past

October 5, 2009 - December 31, 2009

FAMILY FOCUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 150454

JACKSON, NJ

Past

July 20, 1992 - April 9, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 20, 1992 - April 9, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 19, 1982 - February 2, 1987

R.C. STAMM & CO., INC.

CRD#: 11105

Past

January 16, 1981 - September 4, 1981

BRUNS, NORDEMAN, REA & CO.

CRD#: 6589

Past

November 27, 1978 - February 15, 1981

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(3/7/2017)

IAR

Texas
(6/12/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/17/1992

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

Current Firm

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)

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 Accounts	111,059
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.

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Advisor Monitoring

Firm Stability Insights

Kathleen A. Nolan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Nolan's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

INTEGRITY ALLIANCE, LLC.

REAP FINANCIAL GROUP, LLC

FAMILY FOCUS INVESTMENT ADVISORS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

R.C. STAMM & CO., INC.

BRUNS, NORDEMAN, REA & CO.

JANNEY MONTGOMERY SCOTT LLC

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/2009

Series 63

Date: 11/14/1995

Series 6

Date: 7/17/1992

Series 7

Date: 11/18/1978

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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