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James Joseph Dooling

Advisors Asset Management, Inc.

Princeton, NJ

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Current Employers
Advisors Asset Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-08-30
PA RA APPROVED 2023-08-30
  • NJ RA
    APPROVED
    Since 2023-08-30
  • PA RA
    APPROVED
    Since 2023-08-30

Branch Locations

300 Carnegie Center Suite 100, Princeton, NJ 08540 • 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
Brinker Capital Berwyn PA 04/2005 08/2022
Orion Portfolio Solutions Omaha NE 01/2022 08/2022
Hartford Funds Distributors, Llc Wayne PA 11/2022 08/2023
Hartford Funds Management Company, Llc Wayne PA 11/2022 08/2023
Advisors Asset Management, Inc Monument CO 08/2023 Present
  • 04/2005 → 08/2022
    Brinker Capital
    Berwyn, PA
  • 01/2022 → 08/2022
    Orion Portfolio Solutions
    Omaha, NE
  • 11/2022 → 08/2023
    Hartford Funds Distributors, Llc
    Wayne, PA
  • 11/2022 → 08/2023
    Hartford Funds Management Company, Llc
    Wayne, PA
  • 08/2023 → Present
    Advisors Asset Management, Inc
    Monument, CO
Previous Registrations
  • 2022-12-01 → 2023-08-31
    Hartford Funds
    Wayne, PA
  • 2022-01-10 → 2022-09-01
    Orion Portfolio Solutions, Llc
    Berwyn, PA
    Omaha, NE
  • 2020-10-16 → 2021-12-31
    Orion Portfolio Solutions, Llc
    Omaha, NE
  • 2007-10-30 → 2020-10-16
    Brinker Capital Inc
    Berwyn, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-29
S63 Uniform Securities Agent State Law Examination 2007-09-06
  • S65 Uniform Investment Adviser Law Examination
    2007-10-29
  • S63 Uniform Securities Agent State Law Examination
    2007-09-06
Other Names
  • Jim Dooling

View on SEC IAPD

Other Firms

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PNC WEALTH MANAGEMENT LLC
RBC CAPITAL MARKETS, LLC
WATERMARK GROUP, INC.
PRINCETON EQUITY GROUP

Other Investors

DAVID WILLIAM SMITH
JOHN FRANCIS RYAN
ERICA DORAY SEREMETA
DUANE THOMAS LIEDL
MANUEL DAVID SEIDNER
RICHARD DALE WOLFE
MICHAEL JON HEILBRONN
ANGELA MARIE LIBRIZZI

Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ

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