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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Thomas Leslie Sherwood | 1262063 | 6 | 07/16/2003 | Customer Dispute | Settled | $307,409.00 | $0.00 | See FINRA Report |
| Thomas Leslie Sherwood | 1262063 | 6 | 07/16/2003 | Customer Dispute | Settled | $87,827.90 | $0.00 | See FINRA Report |
| Thomas Leslie Sherwood | 1262063 | 6 | 07/16/2003 | Customer Dispute | Settled | $9,721.88 | $0.00 | See FINRA Report |
| Thomas Leslie Sherwood | 1262063 | 6 | 07/16/2003 | Customer Dispute | Settled | $77,843.00 | $0.00 | See FINRA Report |
| Thomas Leslie Sherwood | 1262063 | 6 | 07/16/2003 | Customer Dispute | Settled | $31,615.80 | $0.00 | See FINRA Report |
| Christopher Thomas Genovese | 2255451 | 1 | 02/03/1997 | Customer Dispute | Settled | $500,001.00 | $0.00 | See FINRA Report |
| Scott Irvin Colyer | 1455160 | 2 | 04/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Irvin Colyer | 1455160 | 2 | 01/17/1991 | Customer Dispute | Settled | $138,100.00 | $0.00 | See FINRA Report |