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Independent RIA Onboarding Questionnaire

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Last Updated: 19-04-2017 14:20

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Privacy Notice | ADV-Part 2A | ADV-Part 2A Appendix

Investment advisory services offered only by duly registered individuals through AE Wealth Management, LLC (AEWM). Investing involves risk, including the potential loss of principal. No investment strategy can guarantee a profit or protect against loss in periods of declining values. It is important that you do not use text to request, authorize, or effect the purchase or sale of any security, to send fund transfer instructions, or to effect any other transactions. Any such request, orders, or instructions you send will not be accepted and will not be processed.

The text of this communication is confidential and use by any person who is not the intended recipient is prohibited. Any person who receives this communication in error is requested to immediately destroy the text of this communication without copying or further disseminating. Recipients should be aware that all text messages exchanged with the sender are automatically archived and may be accessed at any time by duly authorized persons and may be produced to other parties, including public authorities, in compliance with applicable laws.

AE Wealth Management, LLC (“AEWM”) is an SEC Registered Investment Adviser located in Topeka, Kansas. AEWM may only transact business in those states in which it maintains a notice filing, or qualifies for an exemption or exclusion from registration requirements.

This website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of AEWM’s website on the Internet should not be construed by any consumer and/or prospective client as a solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation. Any subsequent, direct communication by AEWM with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.

AEWM does not make any representations or warranties as to the accuracy, timeliness, suitableness, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to AEWM’ s website or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes and all users thereof should be guided accordingly. Investing involves risk, including the potential loss of principal. None of the information contained on this website shall constitute an offer to sell or solicit any offer to buy a security.

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