Nicole Ferguson
Investment Adviser Representative at AE Wealth Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicole Ferguson is an investment adviser representative with AE Wealth Management, LLC in Topeka, KS, where they have been registered since 2023. They have worked in the securities industry since 2019 and were previously registered with Madison Avenue Securities, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Kansas.
Registrations & licenses
- Investment adviser:
- Kansas
- Broker:
1 state or territory
Kansas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- AE Wealth Management, LLCJul 2018 – no end date reportedTopeka, KS
- Advisors ExcelApr 2017 – Jul 2018Topeka, KS
- Kansas Insurance DepartmentApr 2013 – Mar 2017Topeka, KS
- AE Financial Services, LLCMay 2019 – no end date reportedTopeka, KS
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About AE Wealth Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $10,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 454
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Topeka, KS
- SEC file number:
- 801-107319
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicole Ferguson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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