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18925 Base Camp Road Suite 203, Monument, CO 80132 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2007-07-10 |
| PA | RA | APPROVED | 2007-07-03 |
Branch Locations
300 Carnegie Center Suite 100, Princeton, NJ 08540 • 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 | Monument | CO | 07/2007 | Present |
1) NAME OF BUSINESS:UMPHREY'S MCGEE NYE DVD; INVESTMENT RELATED:NO; NATURE OF BUSINESS:MUSIC DVD; POSITION/TITLE:PARTNER 5% ASSO.PRODUCER; START DATE: 06/2007; NUMBER OF HOURS SPENT: 0/MONTH 2) NAME:101 FRONT STREET #12, KEY WEST, FL NATURE:RENTAL PROPERTY TITLE:HALF OWNER TIME:2HRS A MONTH START:12/22/08 NOT INVESTMENT-RELATED 3) NAME:703 MANTON STREET NATURE:RENTAL PROPERTY DUTIES:RENT AND MAINTAIN TITLE:OWNER TIME:2 HRS PER MONTH START:3/1/2015 DUPLEX IN PHILADELPHIA PURCHASED AS A RENTAL. NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-12 |
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