Best Investors Account Sign in
Current Employers
Advisors Asset Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2004-10-14
CA RA APPROVED 2002-08-06
  • CO RA
    APPROVED
    Since 2004-10-14
  • CA RA
    APPROVED
    Since 2002-08-06

Branch Locations

28025 Ih-10 West, Boerne, TX 78006 • United States

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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Advisors Asset Management, Inc Monument CO 10/2001 05/2025
Advisors Asset Management, Inc Monument CO 05/2025 Present
Other Businesses

1) Name: T&CM Trust Address: 6110 Garlock Way Colorado Springs Title: Trustee time: 3-7 hours per month. Named as Trustee in testamentary trust. The trustee does not have officers or directors but I will serve as sole trustee. not securities investment related. 2) Name: S&LC Family LLC Title: Manager Time: 15-20 hours per month. not securities investment related however we do manage the securities and other property of the family LLC. 3) Name: S&LC Family LLC Address: 135 Mark Twain and 28595 IH10W, Boerne, TX 78006 Title: Managing member Start: 10/30/24 Time: 10 hours per week. As a manager with Lisa Colyer of S&LC Family LLC, the family company has endeavored to boost its investment in classic and collector automobiles.  The company purchases and sells automobiles for the LLC's collection under the d/b/a of Promontory Car Collectors.  We have hired a total of four employees that work for the LLC.  Two of the four were employed as caretakers of our property and two are family members.  Their job is to care for the collection of cars and other LLC property.  I spend roughly 10 hours per week on this activity.  Lisa and I are not paid any additional compensation for this expansion of our prior activities with S&LC Family LLC.  This is merely an expansion of the activity. not securities investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-03
S63 Uniform Securities Agent State Law Examination 1986-02-18
  • S66 Uniform Combined State Law Examination
    2003-11-03
  • S63 Uniform Securities Agent State Law Examination
    1986-02-18

View on SEC IAPD

More in Boerne, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor