Evan C Harte

Current Employers

Advisors Asset Management, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-08-19

FL RA
APPROVED

Since 2021-08-19

Branch Locations

Lutz, FL • United States

1499 W. Palmetto Park Road Suite 401, Boca Raton, FL 33486 • United States

Disclosures

2 disclosure categories 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Pacer Financial, Inc.	Paoli	PA	11/2016	08/2017
Unemployed	Tampa	FL	04/2015	11/2016
Advisors Asset Management, Inc	Monument	CO	04/2021	Present
Unemployed	Lutz	FL	08/2017	04/2021

11/2016 → 08/2017

Pacer Financial, Inc.

Paoli, PA
04/2015 → 11/2016

Unemployed

Tampa, FL
04/2021 → Present

Advisors Asset Management, Inc

Monument, CO
08/2017 → 04/2021

Unemployed

Lutz, FL

Previous Registrations

2008-07-24 → 2009-05-13

Ubs Financial Services Inc.

Weehawken, NJ

Tampa, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-08-18
S63	Uniform Securities Agent State Law Examination	2000-01-18

S66 Uniform Combined State Law Examination

2021-08-18
S63 Uniform Securities Agent State Law Examination

2000-01-18

Other Names

Evan C. Harte

View on SEC IAPD