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James Phillip Sluis

Advisors Asset Management, Inc.

Irvine, CA

Palatine, IL

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Current Employers
Advisors Asset Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-30
  • CA RA
    APPROVED
    Since 2025-09-30

Branch Locations

Irvine, CA • United States

Palatine, IL • 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
Emerging Global Advisors New York NY 09/2013 09/2016
Alps Distributors Inc. Denver CO 09/2013 09/2016
Columbia Management Investment Distributors Inc New York NY 09/2016 09/2025
Advisors Asset Management, Inc Monument CO 09/2025 Present
  • 09/2013 → 09/2016
    Emerging Global Advisors
    New York, NY
  • 09/2013 → 09/2016
    Alps Distributors Inc.
    Denver, CO
  • 09/2016 → 09/2025
    Columbia Management Investment Distributors Inc
    New York, NY
  • 09/2025 → Present
    Advisors Asset Management, Inc
    Monument, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-10
S63 Uniform Securities Agent State Law Examination 2013-12-23
  • S65 Uniform Investment Adviser Law Examination
    2018-04-10
  • S63 Uniform Securities Agent State Law Examination
    2013-12-23
Designations
Other Names
  • Jake Sluis
  • James Sluis Jr.
  • James Phillip Sluis
  • James Phillip Sluis

View on SEC IAPD

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Other Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA

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