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 |
|---|---|---|---|---|---|---|---|---|
| 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 |