James Robert Costas

Advisors Asset Management, Inc.

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Current Employers

Advisors Asset Management, Inc.

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

Current Registrations

Authority	Category	Status	Date
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

Organization	City	State	From	To
Advisors Asset Management, Inc	Monument	CO	02/2002	Present

02/2002 → Present

Advisors Asset Management, Inc

Monument, CO

Exams

Code	Exam	Date
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

Other Firms

FINANCIAL ACTION, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MWA FINANCIAL SERVICES INC.

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

U.S. BANCORP ADVISORS, LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

MEREDETH LIAN MCDOWELL IVERSEN

CHRISTOPHER BRIAN REED

JASON JOHN ROQUE

KERRY JOSEPH HILSABECK

BRANDON MICHAEL RIDENOUR

Ryan Patrick Sweeney

Matthew Robert Lang

Jason Neil Brashar

Other Offices

FINANCIAL ACTION, INC. · MONUMENT, CO

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Monument, CO

MWA FINANCIAL SERVICES INC. · Monument, CO

LPL FINANCIAL LLC · MONUMENT, CO

LPL FINANCIAL LLC · MONUMENT, CO

EDWARD JONES · MONUMENT, CO

WELLS FARGO CLEARING SERVICES, LLC · MONUMENT, CO

U.S. BANCORP ADVISORS, LLC · Colorado Springs, CO

More in Monument, CO

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