Full text of ADVISORS ASSET MANAGEMENT, INC.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). 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, 2021 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 | | OMB Number:<br>Expires:<br>Estimated average burden<br>hours per response | 3235-0123<br>October 31, 2023<br>12.00 | | | | ANNUAL AUDITED REPORT | | SEC FILE NUMBER | | | | | FORM X-17A-5<br>PART III | | 8-51509 | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/21<br>MM/DD/YY | AND ENDING | 12/31/21<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: Advisors Asset Management, Inc. | | | OFFICIAL USE ONLY | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>X Broker-dealer<br>Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | Major security-based swap participant | | FIRM ID. NO. | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 18925 Base Camp Road, Suite 203 | (No. and Street) | | | | | Monument | | CO | | 80132 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Jeff Opie | | (719) 301-6508 | | jopie@aamlive.com | | | (Name) | | (Area Code – Telephone No.) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | 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) | | | September 24, 2003<br>(Date of Registration with PCAOB)(if applicable) | | | 49<br>(PCAOB Registration Number, if applicable) | | | | | FOR OF…Read the full text as markdown