TrueAdvisor
TrueAdvisor
AP
AP

Alan Ira Panzer

Advisors Asset Management, INC.
30 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Advisors Asset Management, INC.
Compensation
Fee-Only (AUM)
Firm Size
133 advisors
Number of Clients
1,867 clients
Average Client Portfolio
$1.0M average
Assets Under Management
$2.0B

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only

Location

4343 Commerce Court Suite 214, Lisle, IL, 60532

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Advisors Asset Management, INC.
September 2023 - Present · 2 yrs 5 mos
Advisors Asset Management, INC.
September 2023 - Present · 2 yrs 5 mos
Advisors Asset Management, INC.Broker
September 2023 - Present · 2 yrs 5 mos
Previous Registrations
Emerge Capital Management
December 2022 - October 2023 · 10 mos
Alps Distributors, INC.Broker
October 2022 - July 2023 · 9 mos
Allianz Global Investors Distributors LLCBroker
August 2019 - September 2020 · 1 yr 1 mo
Oppenheimerfunds Distributor, INC.Broker
June 1996 - May 2019 · 22 yrs 11 mos
Painewebber IncorporatedBroker
April 1994 - May 1996 · 2 yrs 1 mo
Smith Barney Shearson INC.Broker
August 1993 - April 1994 · 8 mos
Thomas James Associates, INC.Broker
April 1993 - June 1993 · 2 mos
State Registrations3 states
FLGASC
AdvisorBrokerBoth
Exams
No exam information available for this advisor.