ADVISORS ASSET MANAGEMENT, INC. of MONUMENT, CO is an SEC-registered investment adviser (CRD 46727). Regulatory assets under management: $2.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Other.
Showing 25 of 56 people.
| Name | Role | Location |
|---|---|---|
| Palmer Daniel | VP, CHIEF COMPLIANCE OFFICER | Bakersfeild, CA |
| Scott Irvin Colyer | CHAIRMAN/CHIEF EXECUTIVE OFFICER/DIRECTOR; CO-MANAGER OF COMMON SHAREHOLDER; CO-TRUSTEE OF MEMBER OF COMMON SHAREHOLDER (+2 more) | — |
| Lisa Anne Colyer | CO-MANAGER OF COMMON SHAREHOLDER; CO-TRUSTEE OF MEMBER OF COMMON SHAREHOLDER; DIRECTOR (+2 more) | — |
| Christopher Thomas Genovese | EXEC. VP/DIRECTOR | — |
| Alex Robert Meitzner | SR. VP | — |
| John Edwin Webber | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | — |
| Bart Patrick Daniel | CHIEF TECHNOLOGY OFFICER/DIRECTOR | — |
| Brian Wayne Gilbert | SR. VP | — |
| Matthew William Lloyd | CHIEF INVESTMENT STRATEGIST/EXEC. VP; CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | — |
| Richard Alan Stewart | EXEC. VP | — |
| Timothy John Stoklosa | EXEC. VP, CHIEF OPERATING OFFICER | — |
| Jeffrey Kurtis Opie | EXEC. VP, CHIEF FINANCIAL OFFICER | — |
| Charles Edward Sickles | EXEC. VP | — |
| Marilee Ferone | EXEC. VP | — |
| Clifford D Corso | PRESIDENT/CHIEF INVESTMENT OFFICER | — |
| SCOTT NORMAN CHESTER II | SR. VP; SVP, LIMITED PARTNER; VP, LIMITED PARTNER (+1 more) | — |
| MARLIN DENNIS JAMES | EXEC. V.P./MUNICIPAL PRINCIPAL; EXEC. V.P./MUNICIPAL PRINCIPAL, PARTNER; LIMITED PARTNER (+1 more) | — |
| COLYER SCOTT IRVIN | CHAIRMAN/CEO, LIMITED PARTNER; CHAIRMAN/CHIEF EXECUTIVE OFFICER; CHAIRMAN/CHIEF EXECUTIVE OFFICER/DIRECTOR (+18 more) | — |
| COLYER LISA ANN | EXEC. V.P. - OPERATIONS; EXEC. V.P. - OPERATIONS, PARTNER | — |
| COTTON JOE ROBERT | EVP, LIMITED PARTNER; EXEC. VP; SENIOR VP, LIMITED PARTNER (+1 more) | — |
| PEGG RANDAL JASON | EVP, LIMITED PARTNER; EXEC. VP; EXEC. VP/DIRECTOR (+2 more) | — |
| RYKERT DONALD SCOTT | 1STVP; 1STVP, LIMITED PARTNER; VP, LIMITED PARTNER (+1 more) | — |
| GENOVESE CHRISTOPHER THOMAS | EVP, LIMITED PARTNER; EXEC. VP; EXEC. VP/DIRECTOR (+3 more) | — |
| COSTAS JAMES ROBERT | EXEC. VP; EXEC. VP/DIRECTOR; SR. EXEC. VP/DIRECTOR (+3 more) | — |
| DILLAHUNTY JAMES MICHAEL SAIL | LIMITED PARTNER; PRESIDENT-BROKER/DEALER SALES, LIMITED PARTNER; PRESIDENT-BROKER/DEALER SALES, PARTNER (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-06-11 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT INFORMATION REGARDING PURCHASE AND SALE TRANSACTIONS EFFECTED IN MUNICIPAL SECURITIES TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS). SPECIFICALLY, IN TRANSACTIO… | Final | $10K |
| 2014-06-30 | regulatory | THE CHICAGO BOARD OF TRADE ("CBOT") ALLEGED VIOLATIONS BY SUN LIFE FINANCIAL INC. OF CBOT (LEGACY) RULE 432 AND RULE 534, RELATED TO TWO TRADES ON GLOBEX TOTALING 989 SEPTEMBER 2012 ULTRA TREASURY BOND FUTURES CONTRACTS. | Final | $50K |
| — | regulatory | — | — | — |