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Advisors Asset Management, Inc. CRD 46727
$2.21B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
18925 Base Camp Road Suite 203, Monument, CO 80132 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-04-11 |
Branch Locations
14045 Ballantyne Corporate Pl Suite 375, Charlotte, NC 28277 • United States
Waxhaw, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invesco Distributors, Inc. | Houston | TX | 09/2006 | 05/2019 |
| Naperville Running Company | Naperville | IL | 04/2009 | 07/2017 |
| Invesco Advisers, Inc. | Atlanta | GA | 08/2015 | 05/2019 |
| Inland Securities Corporation | Oak Brook | IL | 07/2019 | 08/2021 |
| Advisors Asset Management, Inc | Monument | CO | 11/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-07 |
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