FORM ADV PART 2B
JAMIE L ROTH
4720 Hanover Road
Hanover, PA 17331
717-521-9209
AE Wealth Management, LLC
2950 SW McClure Rd
Suite B
Topeka, KS 66614
866-363-9595
May 15, 2025
This brochure supplement provides information about Jamie Roth that supplements the AE Wealth Management, LLC brochure. You should have received a copy of that brochure. Please contact our compliance department at (866) 363-9595 if you did not receive AE Wealth Management, LLC¶s brochure or if you have any questions about the contents of this supplement.
Additional information about Jamie Roth is also available on the SEC¶s website at www.adviserinfo.sec.gov.
EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE Jamie L Roth
Year of birth: 1976
Education
Jamie Roth does not have any formal education beyond high school.
Business Experience
AE Wealth Management, LLC; Investment Adviser Representative 05/2025 - PRESENT
Alto Financial Group; Retirement Planning Specialist
10/2021 - PRESENT
Encompass More Asset Management LLC; Investment Adviser Representative 05/2024 - 05/2025
Ring Container Technologies; Machine Operator
11/2016 - 05/2022
DISCIPLINARY INFORMATION
Jamie Roth has no civil, criminal, administrative or regulatory events to report. Additional information regarding Jamie Roth's registration as an Investment Adviser Representative may be found by accessing the SEC¶s public disclosure website at https://www.adviserinfo.sec.gov.
OTHER BUSINESS ACTIVITIES
Jamie Roth is the Retirement Planning Specialist and Licensed Insurance Agent of Alto Financial Group. Jamie Roth offers life insurance and annuity products and may offer those products to persons that are also clients of AE Wealth Management. When they sell an insurance product, Jamie Roth receives a commission. This presents a conflict of interest because it creates an incentive to recommend investment products based on the compensation received, rather than on the needs of clients. AE Wealth Management addresses this potential conflict with disclosures and supervisory procedures, which require all investment advisory recommendations to be in the best interest of our clients. Clients are under no obligation to purchase any product or service and may do so through another insurance agent of their choosing.
ADDITIONAL COMPENSATION
When acting in their separate capacity as noted above in Item 4 ³Other Business Activities,´ your IAR has the opportunity to receive additional compensation, consisting of cash bonus payments or reward trips based on aggregated sales of insurance products and overall assets under management during a specified period of time. These benefits are not a result of achieving sales quotas related to specific product lines. Your IAR may also receive additional compensation in the form of financial assistance from AEWM, or an affiliated entity, such as, but not limited to, transition bonuses, forgivable loans, or similar compensation to incentivize the IAR to associate or remain associated with AEWM or an affiliated entity. These instances of additional compensation present conflicts of interest, as they can incentivize your IAR to meet sales goals or maintain their relationship with AEWM. As a result, AEWM requires your IAR to disclose these conflicts, follow AEWM procedures and policies, and to only make advisory recommendations that are in your best interest. For additional information regarding your IAR¶s compensation, refer to AEWM¶s ADV Part 2A Firm Brochure and ADV Part 2A Appendix Wrap Fee Brochure at
aewealthmanagement.com.
SUPERVISION
AE Wealth Management and its investment adviser representatives provide investment advisory services in accordance with AE Wealth Management¶s Written Supervisory Procedures. Our Written Supervisory Procedures include provisions for systematic reviews of the investment recommendations made by our representatives and of the securities that are held in our clients¶ accounts. Our Chief Compliance Officer, Shawn Scholz, is primarily responsible for the implementation of our Written Supervisory Procedures and overseeing the activities of our investment adviser representatives. Clients may contact Shawn Scholz at 866-363-9595 or [email protected] with any questions regarding our supervision or compliance practices.
