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Important Legal Information

Legal Policy

This site has been designed for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced upon the site. Such offers can only be made where lawful under applicable law. The services and information provided through this site are for personal, noncommercial use display. Advisors Asset Management does not intend to provide investment advice through this site and does not represent that the securities or services discussed are suitable for any investor. Investors are advised not to rely on any information contained in the site in the process of making a fully informed investment decision. Advisors Asset Management does not, and this site does not intend to, render tax or legal advice.

This site has been published in the United States for residents of the United States. This site is not intended for use by, or to provide any information to, investors outside of the United States. Advisors Asset Management reserves the right to require proof of residence from any user accessing the site and requesting information. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. No security, investment advisory service, or other product or service will be offered or sold in any jurisdiction in which such offer or solicitation, purchase or sale, would be contrary to the securities laws or other local laws and regulations. U.S. investors should be advised that not all investments discussed on this site may be available in all states.

News, views, opinions, recommendations and other information obtained from sources outside of Advisors Asset Management are believed to be reliable, but we cannot guarantee its accuracy or completeness. All such information is subject to change at any time without notice.

Warranty and Limitation of Liability

The accuracy, completeness and timeliness of the information contained on this site cannot be guaranteed. Advisors Asset Management does not warranty, guarantee or make any representations, or assume any liability with regard to financial results based on the use of the information in the site.

Advisors Asset Management is not liable for any harm caused by the transmission, through accessing the services or information on this site, of a computer virus, or other computer code or programming device that might be used to access, delete, damage, disable, disrupt or otherwise impede in any manner, the operation of the site or of any user's software, hardware, data or property. The use of this web site is at your own risk.

Linked Sites

"Hypertext links" and/or "hyperlinks" to or from other Internet sites, may be included at times as a convenience to the user. Advisors Asset Management assumes no responsibility for the content of any linked site. The fact that such links may exist does not indicate approval or endorsement of any material contained on any linked site.


AAM Privacy Policy

The following is Advisors Asset Management, Inc.'s pledge for the protection of its customers.

OUR PRIVACY PLEDGE TO YOU.

  • Your relationship with Advisors Asset Management, Inc. is based on trust and confidence.
  • To fulfill its responsibilities to you, Advisors Asset Management, Inc. requires that you provide current and accurate financial and personal information.
  • You deserve to expect that Advisors Asset Management, Inc. will protect the information you have provided in a manner that is safe, secure and professional.
  • Advisors Asset Management, Inc. and its employees are committed to protecting your privacy and to safeguarding that information.

Safeguarding Customer Documents

During regular business hours, a registered principal will ensure that access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked.

No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal.

Failure to observe Advisors Asset Management, Inc.'s procedures regarding customer and consumer privacy will result in discipline and may lead to termination.

Sharing Nonpublic Personal and Financial Nonpublic Information

Advisors Asset Management, Inc. is committed to the protection and privacy of its customer's and consumer's personal and financial information. Advisors Asset Management, Inc. will not share such information with any nonaffiliated third party except:

  • When necessary to complete a transaction in the account, such as with the clearing firm or account custodians.
  • When required to maintain or service the account
  • To resolve customer disputes
  • When requested by a fiduciary or beneficiary on the account
  • To rating agencies rating, or to the client's attorney or accountants
  • When required by a regulatory agency, or for other reasons required or permitted by law
  • In connection with a sale or merger of Advisors Asset Management, Inc.'s business
  • In any circumstance that has the customer's instruction or consent

Patriot Act

The Patriot Act requires Advisors Asset Management, Inc. to verify the identity of persons opening new accounts, including:

  • consulting government agency lists of known or suspected criminals, terrorists and terrorist organizations to determine if the person opening an account is on any such list; and
  • If necessary, conducting additional due diligence including requesting information about the source of funds deposited into such accounts.

Investor Securities Protection

Securities in customers accounts are protected by the Securities Investor Protection Corporation ("SIPC") up to $500,000 (including cash claims limited to $100,000). For details, please see www.sipc.org. NFS has arranged for additional insurance protection for cash and securities to supplement its SIPC coverage. This additional protection covers total account net equity in excess of the $500,000/$100,000 coverage provided by SIPC. Neither coverage protects against a decline in the market value of securities.


Payment for Order Flow

In accordance with SEC Rule 607 and in a manner consistent with Advisors Asset Management's obligation to provide best execution for all customer orders, we may direct orders to an exchange or market maker that matches or improves the then current best bid or offer for a particular security. Advisors Asset Management does not receive any remuneration for directing orders to other broker/dealers for execution.

Important Message

In accordance with SEC Rule 17a-3(a)(18)(ii), please be advised that customer complaints may be directed to the Advisors Asset Management, Inc. Compliance Department at the following address and/or telephone number:

Advisors Asset Management, Inc.
28025 IH-10 W Boerne, TX 78006 Attn. Compliance Department (210) 630-6300

AAM Websites

AAM currently maintains the following websites in addition to www.aam.us.com:
www.aamportfolios.com
www.aamsecurities.com
www.aammanagedmoney.com

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