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Investment Adviser Firm Summary

ADVISORS ASSET MANAGEMENT, INC. (CRD# 46727 / SEC# 8-51509, 801-62731)
Alternate Names: ADVISOR'S ASSET MANAGEMENT , ADVISORS ASSET MANAGEMENT, INC. , FIXED INCOME SECURITIES, INC. , FIXED INCOME SECURITIES, LLC , FIXED INCOME SECURITIES, LP , STERLING BROKERAGE SERVICES, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/06/2004
California Terminated 04/14/2004
Colorado Terminated 04/15/2004

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/23/2015
Arizona 03/17/2006
Arkansas 03/27/2012
California 08/06/2002
Colorado 04/14/2004
Connecticut 03/27/2012
Delaware 03/27/2012
Florida 02/06/2004
Georgia 02/06/2004
Hawaii 03/13/2013
Idaho 03/27/2012
Illinois 02/27/2004
Indiana 03/20/2015
Iowa 03/20/2015
Kansas 01/04/2013
Kentucky 03/27/2012
Louisiana 02/04/2011
Maine 03/20/2015
Maryland 08/10/2006
Massachusetts 08/10/2006
Michigan 01/04/2013
Missouri 03/27/2012
Montana 03/20/2015
Nevada 02/04/2011
New Hampshire 03/13/2013
New Jersey 03/17/2006
New Mexico 02/04/2011
New York 02/06/2004
North Carolina 03/19/2007
Ohio 07/05/2007
Oklahoma 03/20/2015
Oregon 02/04/2011
Pennsylvania 01/04/2007
South Carolina 03/27/2012
South Dakota 03/27/2012
Tennessee 02/04/2011
Texas 03/23/1999
Utah 03/27/2012
Vermont 03/27/2012
Virginia 02/04/2011
Washington 02/06/2004
Wisconsin 03/27/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser