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David Ross Parnes

Advisors Asset Management, Inc.

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About David Ross Parnes

David Ross Parnes is a financial advisor at Advisors Asset Management, Inc. David Parnes has been in the industry since 2010 and holds the Series 63, SIE, and Series 7 licenses. David Parnes previously worked at JANNEY MONTGOMERY SCOTT LLC, FIRST NEW YORK SECURITIES L.L.C., and PALI CAPITAL, INC. David Parnes specializes in Portfolio Management for Individuals, Portfolio Management for Businesses, and Portfolio Management for Investment Companies.

Firm Information

David Parnes 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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David Parnes’s Registration & Firm History

FL

01/04/2017 - Present

Advisors Asset Management, Inc. (Boca Raton FL)

NY

10/19/2012 - 06/08/2016

JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)

NY

03/04/2010 - 09/28/2012

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

FL

08/04/2009 - 02/12/2010

PALI CAPITAL, INC. (BOCA RATON FL)

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Licenses & Designations

BC

Issued 08/26/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for David Ross Parnes. Review regulatory record here.
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