CRD #46727 · FINRA BrokerCheck + SEC IAPD

Advisors Asset Management, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Advisors Asset Management, Inc. ranks #1,109 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #3 of 56 on the same disclosure sort used on the state browse page. Advisors Asset Management, Inc. carries 6 BrokerCheck disclosures across 79 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
79
branch offices
6
disclosures
#1,109 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 46727 Advisors Asset Management, Inc.

Advisors Asset Management, Inc. · Grade B · 6 disc · 0.08/office · Mid-sized firm

  • CRD 46727
  • GRADE B
  • DISC 6
  • REG 5
  • ARB 1
  • CIV 0
  • BRANCH 79
  • PER-OFF 0.08
  • RANK #1,109 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Hightower Securities, LLC (0.07 disc/office)

Hightower Securities, LLC0.07Trustmont Financial Gro…0.08Sunbelt Securities, Inc.0.08Advisors Asset Mana… (this)0.08
Disclosures per office among mid-sized firm peers (lower is cleaner)

Advisors Asset Management, Inc. ranks #1,109 of 20,055 by disclosure count among graded broker-dealers; light load at 0.08 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

79 offices

FINRA: Medium firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

5 actions

83% of all disclosures

Disclosures per office

0.08 per office

6 ÷ 79 offices

Advisors Asset Management, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 89% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 1
Civil Events 0
Total 6

Counts for Advisors Asset Management, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Monument, CO
CRD Number
46727

Lower disclosures per office

Advisors Asset Management, Inc. in the heavier-disclosure third

Advisors Asset Management, Inc. carries 6 BrokerCheck disclosures across 79 branch offices - a heavier-third raw book among graded firms (#1,109 of 20,055). Regulator-initiated events are 83% of the book (5 regulatory / 1 arbitration / 0 civil).

Advisors Asset Management, Inc. runs 0.08 disclosures per branch office (cleaner than 89% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Advisors Asset Management, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Colorado cohort · 3.95× state average

Advisors Asset Management, Inc. sits above the Colorado disclosure average

Advisors Asset Management, Inc. reports 6 BrokerCheck disclosures, 3.95× the Colorado average of 1.5 across 56 graded firms with a principal-office state on file.

In Colorado, 37 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Colorado state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Advisors Asset Management, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Advisors Asset Management, Inc. ranks #1,109 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #3 of 56 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Advisors Asset Management, Inc.?
A grade of B reflects Advisors Asset Management, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 6 total disclosures across 79 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Advisors Asset Management, Inc. have?
Advisors Asset Management, Inc. has 6 total FINRA disclosures, including 5 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Advisors Asset Management, Inc.?
Advisors Asset Management, Inc. operates 79 branch offices and is classified by FINRA as a medium firm, registered in CO (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Advisors Asset Management, Inc.'s disciplinary record?
You can verify Advisors Asset Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 46727. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Advisors Asset Management, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Advisors Asset Management, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Advisors Asset Management, Inc. carries 6 disclosures across 79 branch offices (about 0.08 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Advisors Asset Management, Inc., both outside CO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Hightower Securities, LLC (IL) - 0.07 disclosures/office, nearest mid-sized firm peer to Advisors Asset Management, Inc.'s 0.08
  • Trustmont Financial Group, Inc. (PA) - 0.08 disclosures/office, nearest mid-sized firm peer to Advisors Asset Management, Inc.'s 0.08
  • Sunbelt Securities, Inc. (TX) - 0.08 disclosures/office, nearest mid-sized firm peer to Advisors Asset Management, Inc.'s 0.08
  • Firms in CO - state roster that includes Advisors Asset Management, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Advisors Asset Management, Inc..
  • Reading BrokerCheck Reports - How Advisors Asset Management, Inc.'s 0.08 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Advisors Asset Management, Inc..
  • Compare firms - put Advisors Asset Management, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.