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Current Employers
Advisors Asset Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-11-12
  • FL RA
    APPROVED
    Since 2025-11-12

Branch Locations

1499 W. Palmetto Park Road Suite 401, Boca Raton, FL 33486 • 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 07/2025 Present
Capital Grille Chestnut Hill MA 05/2021 08/2021
Waxy O'COnnors Bedford MA 08/2020 11/2020
Waxy O'COnnors Bedford MA 03/2021 05/2021
School Newton MA 08/2014 05/2020
Union College Schenectady NY 09/2021 05/2025
Unemployed Newton MA 12/2020 03/2021
  • 07/2025 → Present
    Monument, CO
  • 05/2021 → 08/2021
    Capital Grille
    Chestnut Hill, MA
  • 08/2020 → 11/2020
    Waxy O'COnnors
    Bedford, MA
  • 03/2021 → 05/2021
    Waxy O'COnnors
    Bedford, MA
  • 08/2014 → 05/2020
    School
    Newton, MA
  • 09/2021 → 05/2025
    Union College
    Schenectady, NY
  • 12/2020 → 03/2021
    Unemployed
    Newton, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-10
  • S66 Uniform Combined State Law Examination
    2025-11-10

View on SEC IAPD

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