Our Staff has compiled our research into a database of FINRA Broker Disclosures for Advisors Asset Management, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Christian Gerhardt Briel | 4130224 | 1 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Evan C Harte | 4075606 | 3 | 12/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Boyd Shepherd | 5854480 | 1 | 04/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Erwin Flewelling | 2278947 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Erwin Flewelling | 2278947 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Ann Allee | 4068791 | 1 | 07/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Peter Gelis | 5999732 | 1 | 02/05/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rene Ramirez | 5543135 | 1 | 04/09/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Evan C Harte | 4075606 | 3 | 12/23/2011 | Customer Dispute | Settled | $81,960.00 | $0.00 | See FINRA Report |
| Evan C Harte | 4075606 | 3 | 09/29/2010 | Customer Dispute | Settled | $743,000.00 | $0.00 | See FINRA Report |