Chief Compliance Officer

0001697723-17-000001.txt : 20170214 0001697723-17-000001.hdr.sgml : 20170214 20170213173817 ACCESSION NUMBER: 0001697723-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170213 EFFECTIVENESS DATE: 20170214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AE Wealth Management LLC CENTRAL INDEX KEY: 0001697723 IRS NUMBER: 364824075 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17779 FILM NUMBER: 17601029 BUSINESS ADDRESS: STREET 1: 2950 SW MCCLURE RD. STREET 2: SUITE B CITY: TOPEKA STATE: KS ZIP: 66614 BUSINESS PHONE: (866) 363-9595 MAIL ADDRESS: STREET 1: 2950 SW MCCLURE RD. STREET 2: SUITE B CITY: TOPEKA STATE: KS ZIP: 66614 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001697723 XXXXXXXX 12-31-2016 12-31-2016 AE Wealth Management LLC

2950 SW MCCLURE RD. SUITE B TOPEKA KS 66614

13F HOLDINGS REPORT 028-17779 N Caleb D. Crook Chief Compliance Officer (866) 363-9595 Caleb D. Crook Topeka KS 02-13-2017 0 189 246887 false INFORMATION TABLE 2 aewm13fdatatable123116.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 341 1728 SH SOLE 0 0 1728 ISHARES TR CORE S&P SCP ETF 464287804 415 3015 SH SOLE 0 0 3015 ISHARES TR CORE S&P500 ETF 464287200 7916 35185 SH SOLE 0 0 35185 ISHARES TR RUSSELL 2000 ETF 464287655 296 2192 SH SOLE 0 0 2192 ISHARES TR RUS 2000 VAL ETF 464287630 492 4136 SH SOLE 0 0 4136 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 484 1605 SH SOLE 0 0 1605 SPDR S&P 500 ETF TR TR UNIT 78462F103 975 4361 SH SOLE 0 0 4361 AMAZON COM INC COM 023135106 563 751 SH SOLE 0 0 751 BRISTOL MYERS SQUIBB CO COM 110122108 325 5553 SH SOLE 0 0 5553 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 538 3298 SH SOLE 0 0 3298 EMERSON ELEC CO COM 291011104 842 15095 SH SOLE 0 0 15095 BOEING CO COM 097023105 556 3573 SH SOLE 0 0 3573 REALTY INCOME CORP COM 756109104 243 4226 SH SOLE 0 0 4226 ONEOK INC NEW COM 682680103 1000 17410 SH SOLE 0 0 17410 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2483 20961 SH SOLE 0 0 20961 BP PLC SPONSORED ADR 055622104 942 25189 SH SOLE 0 0 25189 ALTRIA GROUP INC COM 02209S103 1940 28694 SH SOLE 0 0 28694 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 556 14425 SH SOLE 0 0 14425 INTEL CORP COM 458140100 263 7240 SH SOLE 0 0 7240 ISHARES TR RUS 2000 GRW ETF 464287648 294 1908 SH SOLE 0 0 1908 ORACLE CORP COM 68389X105 272 7063 SH SOLE 0 0 7063 DU PONT E I DE NEMOURS & CO COM 263534109 233 3170 SH SOLE 0 0 3170 DISNEY WALT CO COM DISNEY 254687106 207 1982 SH SOLE 0 0 1982 HONEYWELL INTL INC COM 438516106 670 5783 SH SOLE 0 0 5783 JOHNSON & JOHNSON COM 478160104 1571 13637 SH SOLE 0 0 13637 PFIZER INC COM 717081103 1218 37494 SH SOLE 0 0 37494 KROGER CO COM 501044101 255 7375 SH SOLE 0 0 7375 CHEVRON CORP NEW COM 166764100 3742 31794 SH SOLE 0 0 31794 MICROSOFT CORP COM 594918104 1367 21995 SH SOLE 0 0 21995 VODAFONE GROUP PLC NEW SPNSR ADR 92857W308 957 39192 SH SOLE 0 0 39192 AT&T INC COM 00206R102 3825 89942 SH SOLE 0 0 89942 CISCO SYS INC COM 17275R102 1042 34487 SH SOLE 0 0 34487 INTERNATIONAL BUSINESS MACHS COM 459200101 892 5373 SH SOLE 0 0 5373 COCA COLA CO COM 191216100 1633 39396 SH SOLE 0 0 39396 PEPSICO INC COM 713448108 544 5199 SH SOLE 0 0 5199 VERIZON COMMUNICATIONS INC COM 92343V104 2764 51779 SH SOLE 0 0 51779 XEROX CORP COM 984121103 766 87750 SH SOLE 0 0 87750 ISHARES TR RUS MD CP GR ETF 464287481 1060 10879 SH SOLE 0 0 10879 ISHARES TR RUS MDCP VAL ETF 464287473 784 9745 SH SOLE 0 0 9745 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1999 26539 SH SOLE 0 0 26539 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 467 20092 SH SOLE 0 0 20092 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 239 4933 SH SOLE 0 0 4933 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 289 4192 SH SOLE 0 0 4192 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 241 2958 SH SOLE 0 0 2958 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 491 5768 SH SOLE 0 0 5768 BANK AMER CORP COM 060505104 325 14701 SH SOLE 0 0 14701 STARBUCKS CORP COM 855244109 388 6993 SH SOLE 0 0 6993 EXXON MOBIL CORP COM 30231G102 2424 26850 SH SOLE 0 0 26850 WAL-MART STORES INC COM 931142103 634 9176 SH SOLE 0 0 9176 UNILEVER PLC SPON ADR NEW 904767704 280 6880 SH SOLE 0 0 6880 ASTRAZENECA PLC SPONSORED ADR 046353108 262 9579 SH SOLE 0 0 9579 TOTAL S A SPONSORED ADR 89151E109 244 4787 SH SOLE 0 0 4787 COLGATE PALMOLIVE CO COM 194162103 401 6123 SH SOLE 0 0 6123 LILLY ELI & CO COM 532457108 858 11660 SH SOLE 0 0 11660 DOMINION RES INC VA NEW COM 25746U109 620 8089 SH SOLE 0 0 8089 STAPLES INC COM 855030102 726 80259 SH SOLE 0 0 80259 MERCK & CO INC COM 58933Y105 1741 29568 SH SOLE 0 0 29568 NOVARTIS A G SPONSORED ADR 66987V109 414 5679 SH SOLE 0 0 5679 ENTERGY CORP NEW COM 29364G103 860 11710 SH SOLE 0 0 11710 PROCTER AND GAMBLE CO COM 742718109 1764 20981 SH SOLE 0 0 20981 GENERAL ELECTRIC CO COM 369604103 2092 66202 SH SOLE 0 0 66202 KIMBERLY CLARK CORP COM 494368103 1379 12082 SH SOLE 0 0 12082 HOME DEPOT INC COM 437076102 386 2877 SH SOLE 0 0 2877 MCDONALDS CORP COM 580135101 1100 9040 SH SOLE 0 0 9040 JPMORGAN CHASE & CO COM 46625H100 317 3679 SH SOLE 0 0 3679 SIRIUS XM HLDGS INC COM 82968B103 59 13230 SH SOLE 0 0 13230 MATTEL INC COM 577081102 674 24477 SH SOLE 0 0 24477 HP INC COM 40434L105 748 50421 SH SOLE 0 0 50421 WILLIAMS COS INC DEL COM 969457100 867 27857 SH SOLE 0 0 27857 ISHARES TR IBOXX INV CP ETF 464287242 401 3420 SH SOLE 0 0 3420 FORD MTR CO DEL COM PAR $0.01 345370860 1508 124345 SH SOLE 0 0 124345 UNITEDHEALTH GROUP INC COM 91324P102 539 3366 SH SOLE 0 0 3366 CROWN CASTLE INTL CORP NEW COM 22822V101 543 6262 SH SOLE 0 0 6262 3M CO COM 88579Y101 377 2110 SH SOLE 0 0 2110 VANGUARD INDEX FDS TOTAL STK MKT 922908769 997 8644 SH SOLE 0 0 8644 WELLTOWER INC COM 95040Q104 402 6002 SH SOLE 0 0 6002 FIRSTENERGY CORP COM 337932107 816 26341 SH SOLE 0 0 26341 DUKE ENERGY CORP NEW COM NEW 26441C204 1566 20171 SH SOLE 0 0 20171 APPLE INC COM 037833100 2250 19431 SH SOLE 0 0 19431 CATERPILLAR INC DEL COM 149123101 866 9336 SH SOLE 0 0 9336 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 810 6047 SH SOLE 0 0 6047 INTL PAPER CO COM 460146103 948 17871 SH SOLE 0 0 17871 ISHARES TR MSCI EMG MKT ETF 464287234 1100 31417 SH SOLE 0 0 31417 PPL CORP COM 69351T106 1203 35334 SH SOLE 0 0 35334 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 348 4012 SH SOLE 0 0 4012 OCCIDENTAL PETE CORP DEL COM 674599105 1038 14577 SH SOLE 0 0 14577 PITNEY BOWES INC COM 724479100 781 51434 SH SOLE 0 0 51434 DOW CHEM CO COM 260543103 886 15485 SH SOLE 0 0 15485 SOUTHERN CO COM 842587107 1612 32773 SH SOLE 0 0 32773 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1370 38298 SH SOLE 0 0 38298 BERKSHIRE HATHAWAY INC DEL CL A 084670108 488 2 SH SOLE 0 0 2 ANNALY CAP MGMT INC COM 035710409 186 18617 SH SOLE 0 0 18617 VALERO ENERGY CORP NEW COM 91913Y100 1133 16581 SH SOLE 0 0 16581 O REILLY AUTOMOTIVE INC NEW COM 67103H107 448 1608 SH SOLE 0 0 1608 ISHARES TR CORE US AGGBD ET 464287226 26646 246583 SH SOLE 0 0 246583 FRONTIER COMMUNICATIONS CORP COM 35906A108 790 233760 SH SOLE 0 0 233760 ISHARES TR SELECT DIVID ETF 464287168 419 4729 SH SOLE 0 0 4729 ISHARES TR TIPS BD ETF 464287176 854 7545 SH SOLE 0 0 7545 VENTAS INC COM 92276F100 259 4145 SH SOLE 0 0 4145 CONSOLIDATED EDISON INC COM 209115104 261 3543 SH SOLE 0 0 3543 CENTURYLINK INC COM 156700106 801 33673 SH SOLE 0 0 33673 AMERICAN ELEC PWR INC COM 025537101 284 4512 SH SOLE 0 0 4512 EATON CORP PLC SHS G29183103 820 12226 SH SOLE 0 0 12226 GALLAGHER ARTHUR J & CO COM 363576109 824 15859 SH SOLE 0 0 15859 PRICE T ROWE GROUP INC COM 74144T108 765 10169 SH SOLE 0 0 10169 HUMANA INC COM 444859102 256 1257 SH SOLE 0 0 1257 SANOFI SPONSORED ADR 80105N105 832 20575 SH SOLE 0 0 20575 TYSON FOODS INC CL A 902494103 475 7705 SH SOLE 0 0 7705 SPDR GOLD TRUST GOLD SHS 78463V107 398 3628 SH SOLE 0 0 3628 VANGUARD WORLD FDS ENERGY ETF 92204A306 623 5951 SH SOLE 0 0 5951 VANGUARD INDEX FDS VALUE ETF 922908744 350 3763 SH SOLE 0 0 3763 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 502 3960 SH SOLE 0 0 3960 VANGUARD INDEX FDS MID CAP ETF 922908629 219 1666 SH SOLE 0 0 1666 NATIONAL GRID PLC SPON ADR NEW 636274300 703 12054 SH SOLE 0 0 12054 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 422 7757 SH SOLE 0 0 7757 VANGUARD INDEX FDS GROWTH ETF 922908736 792 7106 SH SOLE 0 0 7106 GARMIN LTD SHS H2906T109 761 15687 SH SOLE 0 0 15687 SEAGATE TECHNOLOGY PLC SHS G7945M107 838 21957 SH SOLE 0 0 21957 MOSAIC CO NEW COM 61945C103 870 29671 SH SOLE 0 0 29671 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 302 5214 SH SOLE 0 0 5214 VANGUARD WORLD FDS UTILITIES ETF 92204A876 239 2236 SH SOLE 0 0 2236 ISHARES GOLD TRUST ISHARES 464285105 148 13318 SH SOLE 0 0 13318 ISHARES TR EAFE VALUE ETF 464288877 2665 56409 SH SOLE 0 0 56409 ISHARES TR EAFE GRWTH ETF 464288885 3129 49121 SH SOLE 0 0 49121 VANGUARD WORLD FDS TELCOMM ETF 92204A884 555 5540 SH SOLE 0 0 5540 PEOPLES UNITED FINANCIAL INC COM 712704105 868 44855 SH SOLE 0 0 44855 VANGUARD WORLD FDS INF TECH ETF 92204A702 222 1827 SH SOLE 0 0 1827 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 658 5113 SH SOLE 0 0 5113 INVESCO LTD SHS G491BT108 796 26228 SH SOLE 0 0 26228 BCE INC COM NEW 05534B760 809 18715 SH SOLE 0 0 18715 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189F361 344 11597 SH SOLE 0 0 11597 ISHARES TR CORE S&P TTL STK 464287150 5066 98772 SH SOLE 0 0 98772 CAPITOL FED FINL INC COM 14057J101 262 15902 SH SOLE 0 0 15902 CF INDS HLDGS INC COM 125269100 872 27707 SH SOLE 0 0 27707 FIRST TR MORNINGSTAR DIV LEA SHS 336917109 233 8396 SH SOLE 0 0 8396 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 278 6281 SH SOLE 0 0 6281 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 302 16809 SH SOLE 0 0 16809 ISHARES TR IBOXX HI YD ETF 464288513 1491 17223 SH SOLE 0 0 17223 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 322 4051 SH SOLE 0 0 4051 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 1041 69790 SH SOLE 0 0 69790 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 241 2978 SH SOLE 0 0 2978 ISHARES TR U.S. PFD STK ETF 464288687 650 17460 SH SOLE 0 0 17460 RYDEX ETF TRUST GUG S&P500 PU GR 78355W403 229 2746 SH SOLE 0 0 2746 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 408 5379 SH SOLE 0 0 5379 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 16623 454921 SH SOLE 0 0 454921 ISHARES TR NATIONAL MUN ETF 464288414 4770 44097 SH SOLE 0 0 44097 ISHARES TR INTERM CR BD ETF 464288638 954 8818 SH SOLE 0 0 8818 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1096 30062 SH SOLE 0 0 30062 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 223 6274 SH SOLE 0 0 6274 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 342 7475 SH SOLE 0 0 7475 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 4613 94592 SH SOLE 0 0 94592 ISHARES TR EAFE SML CP ETF 464288273 632 12687 SH SOLE 0 0 12687 VANGUARD WORLD FD MEGA GRWTH IND 921910816 341 3909 SH SOLE 0 0 3909 PHILIP MORRIS INTL INC COM 718172109 1715 18741 SH SOLE 0 0 18741 VANGUARD WORLD FD MEGA CAP INDEX 921910873 214 2803 SH SOLE 0 0 2803 CLAYMORE EXCHANGE TRD FD TR GUGG ENH SHT DUR 18383M654 1320 26338 SH SOLE 0 0 26338 ISHARES RUS TP200 VL ETF 464289420 2793 59420 SH SOLE 0 0 59420 ISHARES RUS TP200 GR ETF 464289438 2789 49519 SH SOLE 0 0 49519 VANGUARD SCOTTSDALE FDS INT-TERM GOV 92206C706 302 4721 SH SOLE 0 0 4721 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 489 9355 SH SOLE 0 0 9355 VANGUARD SCOTTSDALE FDS LONG-TERM GOV 92206C847 488 6617 SH SOLE 0 0 6617 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 785 9156 SH SOLE 0 0 9156 VANECK VECTORS ETF TR JP MORGAN MKTS 92189F494 204 11614 SH SOLE 0 0 11614 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 24482 119246 SH SOLE 0 0 119246 GENERAL MTRS CO COM 37045V100 839 24083 SH SOLE 0 0 24083 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 632 27059 SH SOLE 0 0 27059 ISHARES TR CORE HIGH DV ETF 46429B663 246 2987 SH SOLE 0 0 2987 VEREIT INC COM 92339V100 144 17037 SH SOLE 0 0 17037 ISHARES TR MIN VOL USA ETF 46429B697 4821 106618 SH SOLE 0 0 106618 ISHARES TR US TREASURY ETF 46429B267 377 15112 SH SOLE 0 0 15112 RETAIL PPTYS AMER INC CL A 76131V202 167 10873 SH SOLE 0 0 10873 SPDR SER TR BLOOMBERG SRT TR 78468R408 2944 106363 SH SOLE 0 0 106363 FACEBOOK INC CL A 30303M102 617 5361 SH SOLE 0 0 5361 ISHARES INC CORE MSCI EMKT 46434G103 1790 42177 SH SOLE 0 0 42177 GLOBAL X FDS GLBX SUPRINC ETF 37950E333 177 13826 SH SOLE 0 0 13826 ABBVIE INC COM 00287Y109 1738 27752 SH SOLE 0 0 27752 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 216 11395 SH SOLE 0 0 11395 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 2199 45268 SH SOLE 0 0 45268 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 801 16615 SH SOLE 0 0 16615 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 1907 40156 SH SOLE 0 0 40156 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 230 14622 SH SOLE 0 0 14622 SPROUTS FMRS MKT INC COM 85208M102 383 20249 SH SOLE 0 0 20249 WISDOMTREE TR BLMBG US BULL 97717W471 1183 42293 SH SOLE 0 0 42293 NAVIENT CORP COM 63938C108 876 53345 SH SOLE 0 0 53345 J P MORGAN EXCHANGE TRADED F DIV RTN INT EQ 46641Q209 1863 38076 SH SOLE 0 0 38076 KRAFT HEINZ CO COM 500754106 291 3337 SH SOLE 0 0 3337 FQF TR OSHARS FTSE US 351680855 1128 41057 SH SOLE 0 0 41057 ETFIS SER TR I VIRTUS NEWFLEET 26923G707 1613 63919 SH SOLE 0 0 63919 VIRTUS ETF TR II VIRTUS DYNMC ETF 92790A207 465 18599 SH SOLE 0 0 18599