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 | 09/29/2010 | Customer Dispute | Settled | $743,000.00 | $0.00 | See FINRA Report |
| John Richard Devries | 2499453 | 1 | 12/16/2004 | Customer Dispute | Closed-No Action | $71,000.00 | $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 |
| Thomas Leslie Sherwood | 1262063 | 6 | 09/06/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Genovese | 2255451 | 1 | 02/03/1997 | Customer Dispute | Settled | $500,001.00 | $0.00 | See FINRA Report |
| David Ross Parnes | 5682720 | 1 | 01/08/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |