Career
Shawn Scholz has been Chief Compliance Officer of Ae Wealth Management since September 2021. Shawn Scholz is a control person of the firm and directly owns under 5% of it. Shawn Scholz holds a B.S. in Business Management and Project Management.
Ae Wealth Management, LLC is a Topeka, KS firm with $49.8B under management, 128,073 clients and 448 advisers across 315 offices, as of its August 2026 filing.
Shawn Scholz joined Advisors Excel in 2021 and serves as Chief Compliance Officer for AE Wealth Management.
No adviser firm registrations are on Shawn Scholz’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 13 May 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 March 1998 |
| Series 7 | General Securities Representative Examination | 17 December 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 July 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Shawn Scholz
- CRD
- 2891167
- Firm bio
- aewealthmanagement.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Shawn Scholz work?
Shawn Scholz has been Chief Compliance Officer of Ae Wealth Management, LLC since September 2021, and is a control person of the firm.
Does Shawn Scholz have a current investment-adviser registration?
Shawn Scholz has a current broker registration and no current investment-adviser registration.
What exams has Shawn Scholz passed?
Shawn Scholz has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 24. The earliest, the Series 6, was passed in July 1997. FINRA credited Shawn Scholz with the SIE, which began in October 2018.