CRD #298608 · FINRA BrokerCheck + SEC IAPD

AE Financial Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, AE Financial Services, LLC ranks #5,283 of 20,055 by disclosure count (most disclosures first). Among firms registered in KS, it ranks #14 of 20 on the same disclosure sort used on the state browse page. AE Financial Services, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 14 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
14
branch offices
0
disclosures
#5,283 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 298608 AE Financial Services, LLC

AE Financial Services, LLC · Grade A · 0 disc · 0.00/office · Regional firm

  • CRD 298608
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 14
  • PER-OFF 0.00
  • RANK #5,283 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: ADP Broker-Dealer, Inc. (0.00 disc/office)

ADP Broker-Dealer, Inc.0.00American Global Wealth …0.00Apollo Global Securitie…0.00AE Financial Servic… (this)0.00
Disclosures per office among regional firm peers (lower is cleaner)

AE Financial Services, LLC ranks #5,283 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

14 offices

FINRA: Small firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

0.00 per office

0 ÷ 14 offices

Clean disclosure surface

AE Financial Services, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 14 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Topeka, KS
CRD Number
298608

Clean BrokerCheck surface

AE Financial Services, LLC's clean BrokerCheck surface

AE Financial Services, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 14 branch offices (Grade A).

AE Financial Services, LLC shows zero reportable disclosures across 14 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of AE Financial Services, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

Kansas cohort · 0.00× state average

AE Financial Services, LLC sits below the Kansas disclosure average

AE Financial Services, LLC reports 0 BrokerCheck disclosures, 0.00× the Kansas average of 1.6, lighter than most of the 20 graded firms filed there.

In Kansas, 7 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Kansas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does AE Financial Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, AE Financial Services, LLC ranks #5,283 of 20,055 by disclosure count (most disclosures first). Among firms registered in KS, it ranks #14 of 20 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for AE Financial Services, LLC?
A grade of A means AE Financial Services, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does AE Financial Services, LLC have?
AE Financial Services, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is AE Financial Services, LLC?
AE Financial Services, LLC operates 14 branch offices and is classified by FINRA as a small firm, registered in KS (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify AE Financial Services, LLC's disciplinary record?
You can verify AE Financial Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 298608. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. AE Financial Services, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for AE Financial Services, LLC, both outside KS so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.