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Current Employers
Ae Financial & Risk Management, Inc.

290 Prospect Place, Alpharetta, GA 30005 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2014-08-06
  • GA RA
    APPROVED
    Since 2014-08-06

Branch Locations

290 Prospect Place, Alpharetta, GA 30005 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ae Financial And Risk Management Atlanta GA 06/2009 Present
Jbs Liberty Securities, Inc. Atlanta GA 07/2016 Present
  • 06/2009 → Present
    Ae Financial And Risk Management
    Atlanta, GA
  • 07/2016 → Present
    Jbs Liberty Securities, Inc.
    Atlanta, GA
Previous Registrations
  • 2012-03-16 → 2014-08-08
    Financial Telesis Inc
    San Rafael, CA
    Johns Creek, GA
Other Businesses

1) AE FINANCIAL & RISK MANAGEMENT. SINCE 06/2009 11138 STATE BRIDGE ROAD, SUITE 100, JOHNS CREEK, GA. INSURANCE BUSINESS IN ADDITION TO ADVISORY BUSINESS. TITLE-CEO/PRINCIPAL. DUTIES- INSURANCE SALES; 2) AVICENNA NUTRACEUTICAL, LLC - OWNER/CFO - SINCE 2015 11138 STATE BRIDGE ROAD, SUITE 100, JOHNS CREEK, GA. NON-INVESTMENT RELATED BUSINESS INVOLVED IN THE SALE OF COLLAGEN SUPPLEMENTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-03-02
S63 Uniform Securities Agent State Law Examination 2005-04-14
  • S65 Uniform Investment Adviser Law Examination
    2012-03-02
  • S63 Uniform Securities Agent State Law Examination
    2005-04-14

View on SEC IAPD

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