A complete list of active advisors currently associated with Advisors Asset Management, Inc.

Warmer can help you find a great advisor at Advisors Asset Management, Inc. or one who fits your needs even better.

The firm serves individual clients primarily by placing accounts with third‑party money managers and by providing fee‑for‑service financial planning; it does not act as a custodian or directly manage client assets. It also offers insurance products through an affiliated insurance business, and representatives may receive commissions from those insurance sales separate from advisory fees. For investment services the firm solicits and refers clients to third‑party managers (including Gradient Investments, LLC), acts as the client liaison, reviews quarterly reports, and receives a portion of the third‑party manager’s advisory fees while clients are billed under the manager’s fee schedule. The firm does not accept discretionary trading authority, and financial planning is provided on an hourly basis with delivery of third‑party ADV and solicitor disclosure documents to clients. Distinctive features include supervision and compliance being vested in the sole owner, who spends substantial time in the affiliated insurance business and receives external compensation and incentive payments tied to the third‑party manager — arrangements that the brochure discloses and addresses as potential conflicts. The firm also discloses two regulatory consent orders from 2017 related to an annuity suitability matter and a licensing disclosure issue, and it relies on referral/incentive relationships rather than directly offering percentage‑of‑AUM portfolio management.

To learn more about the advisors currently working at Advisors Asset Management, Inc., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.