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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Blake Williams | 5836696 | 1 | 10/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Holleron | 2578956 | 1 | 03/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan C Harte | 4075606 | 3 | 12/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lory Alejandrez Espino | 5190030 | 1 | 09/23/2016 | 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 |
| Kevin Raymond Zellers | 4149264 | 1 | 05/17/2012 | Customer Dispute | Denied | $11,445.20 | $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 |