Important Legal Information
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
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.
"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.
The following is Advisors Asset Management, Inc.'s pledge for the protection of its
OUR PRIVACY PLEDGE TO YOU.
Your relationship with Advisors Asset Management, Inc. is based on trust and
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
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
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
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.
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.
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
AAM currently maintains the following websites in addition to www.aam.us.com: