Full text of ADVISORS ASSET MANAGEMENT, INC.'s X-17A-5 filed 2026-02-27 (period 2025-12-31). 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, 2025 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>3235-0123<br>Expires:<br>November 30, 2026<br>Estimated average burden<br>hours per response<br>12.00 | | ANNUAL AUDITED REPORT<br>FORM X-17A-5 | | SEC FILE NUMBER | | | | PART III | | 8-51509 | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/25<br>MM/DD/YY | AND ENDING | 12/31/25<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>Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | 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* | | | | | Deloitte & Touche LLP | | | | | | (Name – if individual, state last, first, middle name) | | | | 1601 Wewatta Street, Suite 400 | Denver | CO | 80202-6479 | | (Address) | (City) | (State) | (Zip Code) | | October 20, 2003 | | | 34 | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims for exemption from the req…Read the full text as markdown