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Alan Ira Panzer

Advisors Asset Management, Inc.

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About Alan Ira Panzer

Alan Panzer is a registered investment advisor representative with Advisors Asset Management, Inc., based in Lisle, Illinois. Alan has been in the securities industry since 1995 and has experience with OppenheimerFunds Distributor, Inc., Allianz Global Investors Distributors LLC, Emerge Capital Management, and ALPS Distributors, Inc. Alan has a Series 7 and Series 65 license.

Firm Information

Alan Panzer is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Alan Panzer’s Registration & Firm History

IL

09/21/2023 - Present

Advisors Asset Management, Inc. (LISLE IL)

CO

10/27/2022 - 07/14/2023

ALPS DISTRIBUTORS, INC. (DENVER CO)

NY

08/22/2019 - 09/14/2020

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)

NY

06/25/1996 - 05/31/2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

NJ

04/25/1994 - 05/24/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

08/23/1993 - 04/29/1994

SMITH BARNEY SHEARSON INC. (NEW YORK NY)

NY

04/12/1993 - 06/22/1993

THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)

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Licenses & Designations

BC

Issued 11/30/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 03/08/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Alan Ira Panzer.
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