Full text of ADVISORS ASSET MANAGEMENT, INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### ADVISORS ASSET MANAGEMENT, INC. Financial Report December 31, 2020 Filed as PUBLIC Information Pursuant to Rule 17a-(d) Under the Securities Exchange Act of 1934 {1}------------------------------------------------ | | | | OMB APPROVAL | | |--------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|---------------------------------------------------------------------------------------------------------------------|--| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 3235-0123<br>OMB Number:<br>Expires:<br>October 31, 2023<br>Estimated average burden<br>hours per response<br>12.00 | | | ANNUAL AUDITED REPORT<br>FORM X-17A-5<br>PART III | | | SEC FILE NUMBER<br>8-51509 | | | | FACING PAGE<br>Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/20<br>MM/DD/YY | AND ENDING | 12/31/20<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | Advisors Asset Management, Inc. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 18925 Base Camp Road, Suite 203 | | | | | | | (No. and Street) | | | | | Monument | CO | | 80132 | | | (City)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | (State) | | (Zip Code) | | | Jeff Opie | | | (719) 301-6508 | | | | | | (Area Code – Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>RSM US LLP | | | | | | | (Name – if individual, state last, first, middle name) | | | | | 30 S. Wacker Drive, Suite 3300<br>(Address) | Chicago<br>(City) | IL<br>(State) | 60606<br>(Zip Code) | | | CHECK ONE:<br>X<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied…Read the full text as markdown