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James Anthony Warfield

Advisors Asset Management, Inc.

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About James Anthony Warfield

James Anthony Warfield is an investment advisor representative with Advisors Asset Management, Inc. James Anthony Warfield has over 27 years of experience in the securities industry. James Anthony Warfield is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). James Anthony Warfield's previous firms include Pacer Financial, Inc., AIG Capital Services, Inc., Icon Distributors, Inc., Victory Capital Advisors, Inc., RS Funds Distributor LLC, VP Distributors LLC, G. Distributors, LLC, Gabelli & Company, Inc., Palmetto Advisory Group, UBS Global Asset Management (US) Inc., UBS PaineWebber Inc., Liberty Funds Distributor, Inc., and Franklin/Templeton Distributors, Inc.

Firm Information

James Warfield 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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James Warfield’s Registration & Firm History

NJ

05/04/2023 - Present

Advisors Asset Management, Inc. (PRINCETON NJ)

PA

08/12/2021 - 03/03/2023

PACER FINANCIAL, INC. (MALVERN PA)

NJ

03/19/2018 - 07/28/2021

AIG CAPITAL SERVICES, INC. (JERSEY CITY NJ)

CO

05/10/2017 - 12/05/2017

ICON DISTRIBUTORS, INC. (GREENWOOD VILLAGE CO)

OH

08/03/2016 - 03/01/2017

VICTORY CAPITAL ADVISERS, INC. (BROOKLYN OH)

PA

05/08/2015 - 08/22/2016

RS FUNDS DISTRIBUTOR LLC (VILLANOVA PA)

CT

01/03/2012 - 05/15/2015

VP DISTRIBUTORS LLC (HARTFORD CT)

NY

08/01/2011 - 12/08/2011

G.DISTRIBUTORS, LLC (RYE NY)

NY

10/28/2010 - 08/26/2011

GABELLI & COMPANY, INC. (RYE NY)

SC

05/05/2010 - 10/25/2010

PALMETTO ADVISORY GROUP (KIAWAH ISLAND SC)

NC

01/25/2002 - 12/31/2009

UBS GLOBAL ASSET MANAGEMENT (US) INC. (CHARLOTTE NC)

NJ

03/29/2000 - 01/29/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

MA

08/03/1999 - 02/24/2000

LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)

CA

10/19/1994 - 08/19/1999

FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)

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Licenses & Designations

IA

Issued 05/01/2023

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/04/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/1994

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 James Anthony Warfield.
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