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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.

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    AAM is a SEC registered investment advisor and member FINRA/SIPC. Registrant MSRB.