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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2005-06-02
  • CO RA
    APPROVED
    Since 2005-06-02

Branch Locations

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Advisors Asset Management, Inc Monument CO 01/2002 Present
Other Businesses

1)Name: COFRANX LLC Address: Battlefield Mall Springfield, MO 65804 title: Member/Manager start: Dec 2017. Park expected to open 4th qtr 2018 or 1st qtr 2019 time: maybe an hr a week duties: passive LLC utilized to make a passive investment into Urban Air Trampoline and Adventure Park in Springfield MO. not securities investment related 2)Name: Urban Air Project Slice address:10 parks - multiple addresses title: Investor start:5/01/2023 time: no time required Investor in small percentage of 10 urban air parks. not securities related 3)Name: Odd Lot Partners LLC address:530 Northfield Rd Colorado Springs, CO 80919 title: member start:5/01/2023 time:0 LLC was created to invest in Project Urban Air Slice. Members of this LLC are: Seth Franck, Justin Grow and Brad Schultheis not securities related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-06
S63 Uniform Securities Agent State Law Examination 2002-06-26
  • S66 Uniform Combined State Law Examination
    2004-12-06
  • S63 Uniform Securities Agent State Law Examination
    2002-06-26

View on SEC IAPD

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