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Advisors Asset Management, Inc. CRD 285455
131 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
4301 S Pine St. Suite 628, Tacoma, WA 98409 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2017-04-10 |
Branch Locations
4301 South Pine St. Suite 628, Tacoma, WA 98409 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Advisors Asset Management, Inc. | Tacoma | WA | 02/2017 | Present |
| Senior Care Alliance | Tacoma | WA | 02/2005 | Present |
| Federal Retirement Resources | Tacoma | WA | 05/2017 | 07/2017 |
Senior Care Alliance; investment related; Tacoma Washington; sale of insurance products; owner; started 02/2005; approximately 70% of my time is spent in this business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-17 |
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