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James Robert Costas

Advisors Asset Management, Inc.

Monument, CO

CRD 1060863

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Employer firm

Advisors Asset Management, Inc. CRD 46727

$2.21B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • SUPERVISOR/EVALUATOR TO UNIT INVESTMENT TRUSTS

From the firm’s Form ADV. Read the guides:

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
  • CO RA
    APPROVED
    Since 2004-10-14

Branch Locations

18925 Base Camp Road Suite 203, Monument, CO 80132 • 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
Advisors Asset Management, Inc Monument CO 02/2002 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-22
S63 Uniform Securities Agent State Law Examination 1985-07-25
  • S66 Uniform Combined State Law Examination
    2003-10-22
  • S63 Uniform Securities Agent State Law Examination
    1985-07-25
Other Names
  • Jim Costas

View on SEC IAPD

Nearby Firms

FINANCIAL ACTION, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MWA FINANCIAL SERVICES INC.

Nearby Investors

MEREDETH LIAN MCDOWELL IVERSEN
CHRISTOPHER BRIAN REED
JASON JOHN ROQUE

Nearby Offices

FINANCIAL ACTION, INC. · MONUMENT, CO
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Monument, CO
MWA FINANCIAL SERVICES INC. · Monument, CO

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