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Dwayne Javier

Advisors Asset Management, Inc.

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About Dwayne Javier

Dwayne Javier is a registered representative with Advisors Asset Management, Inc. Dwayne has been in the securities industry since November 20, 1995. Dwayne has a Series 7, Series 63, and Series 65 licenses and has worked for several firms including Thrivent Distributors, LLC, Foreside Fund Services, LLC, Invesco Distributors, Inc., Pioneer Funds Distributor, Inc., Nationwide Investment Services Corporation, Northwestern Mutual Investment Services, LLC, Prudential Investment Management Services LLC, AllianceBernstein Investment Research and Management, Inc., Commonwealth Associates, Olde Discount Corporation, and D. H. Blair & Co., Inc. Dwayne specializes in portfolio management for individuals, businesses and investment companies.

Firm Information

Dwayne Javier 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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Dwayne Javier’s Registration & Firm History

NJ

12/03/2024 - Present

Advisors Asset Management, Inc. (Matawan NJ)

MN

11/12/2020 - 12/31/2023

THRIVENT DISTRIBUTORS, LLC (Minneapolis MN)

ME

11/21/2019 - 10/28/2020

FORESIDE FUND SERVICES, LLC (PORTLAND ME)

TX

01/26/2016 - 05/31/2019

INVESCO DISTRIBUTORS, INC. (HOUSTON TX)

MA

03/26/2015 - 01/08/2016

PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)

OH

10/04/2013 - 04/07/2015

NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)

NJ

02/07/2012 - 09/30/2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (FAIRFIELD NJ)

NJ

05/22/2006 - 09/12/2011

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

TN

04/29/1997 - 02/23/2006

ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. (NASHVILLE TN)

NY

03/10/1997 - 03/27/1997

COMMONWEALTH ASSOCIATES (NEW YORK NY)

MI

02/25/1996 - 02/06/1997

OLDE DISCOUNT CORPORATION (DETROIT MI)

NY

05/11/1994 - 12/31/1995

D. H. BLAIR & CO., INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/27/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/19/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/10/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dwayne Javier.
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