Advisors Asset Management Inc.

02/27/2026 | Press release | Distributed by Public on 02/27/2026 14:46

Information Required of Brokers and Dealers (Form X-17A-5)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001076557
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
01-01-2025
and Ending
12-31-2025
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
ADVISORS ASSET MANAGEMENT, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
18925 BASE CAMP ROAD
Address 2
SUITE 203
City
MONUMENT
State/Country
COLORADO
Mailing Zip/ Portal Code
80132-0000

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Jeff Opie
Telephone Number
7193016508

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Deloitte & Touche LLP
Address 1
1601 Wewatta Street
Address 2
Suite 400
City
Denver
State/Country
COLORADO
Mailing Zip/ Postal Code
80202
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Jeff Opie, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of ADVISORS ASSET MANAGEMENT, INC., as of 12-31-2025, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Jeffrey K Opie
Title
CFO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Advisors Asset Management Inc. published this content on February 27, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on February 27, 2026 at 20:46 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]