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James Gerald Gentleman

Advisors Asset Management, Inc.

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About James Gerald Gentleman

James Gentleman is a financial advisor who has been in the industry since May 21, 2009. James is currently registered with Advisors Asset Management, Inc. and has been with them since July 27, 2022. James is a Series 6, 7 and 63 licensed professional. James was previously employed with Foreside Fund Services, LLC for a total of 6 years and PFPC Distributors, Inc. for 1 year.

Firm Information

James Gentleman 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 Gentleman’s Registration & Firm History

NY

07/27/2022 - Present

Advisors Asset Management, Inc. (NEW YORK NY)

IL

09/28/2018 - 07/28/2022

FORESIDE FUND SERVICES, LLC (CHICAGO IL)

ME

02/22/2017 - 07/30/2018

FORESIDE FUND SERVICES, LLC (PORTLAND ME)

ME

10/11/2013 - 01/11/2017

FORESIDE FUND SERVICES, LLC (PORTLAND ME)

IL

11/03/2008 - 06/25/2012

FORESIDE FUND SERVICES, LLC (CHICAGO IL)

ME

07/09/2007 - 07/14/2008

PFPC DISTRIBUTORS, INC. (PORTLAND ME)

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Licenses & Designations

BC

Issued 10/14/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/23/2015

Series 7 - General Securities Representative Examination

BC

Issued 07/08/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Gerald Gentleman.
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