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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
MA RA APPROVED 2026-08-12
  • MA RA
    APPROVED
    Since 2026-08-12

Branch Locations

Hingham, MA • United States

300 Carnegie Center Suite 100, Princeton, NJ 08540 • 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
Doubleline Capital Lp Hingham MA 03/2015 06/2026
Foreside Fund Services, Llc Hingham MA 03/2015 06/2026
Advisors Asset Management, Inc Monument CO 06/2026 Present
  • 03/2015 → 06/2026
    Doubleline Capital Lp
    Hingham, MA
  • 03/2015 → 06/2026
    Foreside Fund Services, Llc
    Hingham, MA
  • 06/2026 → Present
    Monument, CO
Previous Registrations
  • 2003-02-26 → 2007-08-17
    Allianz Global Investors Managed Accounts Llc
    Stamford, CT
Other Businesses

Name: Hingham Historical Society Address: 34 Main St Hingham, MA 02043 Nature: Town Historical Organization Start: 4/7/26 Title: Board Member Time: 1-2 hours/month. I serve on the Board of Directors of my town historical society. Responsibilities include 1 board meeting and 1 committee meeting per month. Not securities business related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-07-30
S63 Uniform Securities Agent State Law Examination 1994-06-08
  • S65 Uniform Investment Adviser Law Examination
    2026-07-30
  • S63 Uniform Securities Agent State Law Examination
    1994-06-08
Other Names
  • John B Hussey

View on SEC IAPD

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