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James Gerard McFarland

Advisors Asset Management, Inc.

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About James Gerard McFarland

James McFarland is a financial advisor with over 40 years of experience in the financial services industry. James currently works with Advisors Asset Management, Inc. and has previously worked with a number of firms including First Empire Securities, Inc., Wayne Hummer Investments L.L.C., B. C. Ziegler and Company, INCAPITAL LLC, Hutchinson, Shockey, Erley & Co., First Trust Portfolios L.P., Everen Securities, Inc., First of America Securities, Inc., Mesirow Financial, Inc., Prescott, Ball & Turben, Inc., Gulfstream Financial Associates, Inc., Underwood, Neuhaus & Co., Incorporated, Williams Securities Group, Inc., and Leedy, Wheeler & Alleman, Inc. James holds the Series 63, Series 24, SIE and Series 7 licenses.

Firm Information

James McFarland 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 McFarland’s Registration & Firm History

CO

04/03/2018 - Present

Advisors Asset Management, Inc. (MONUMENT CO)

IL

01/19/2016 - 01/12/2018

FIRST EMPIRE SECURITIES, INC. (Chicago IL)

IL

09/10/2014 - 01/07/2016

WAYNE HUMMER INVESTMENTS L.L.C. (CHICAGO IL)

IL

05/11/2011 - 06/23/2014

B. C. ZIEGLER AND COMPANY (CHICAGO IL)

FL

08/03/2010 - 05/04/2011

INCAPITAL LLC (DELRAY BEACH FL)

IL

09/19/2003 - 07/29/2010

HUTCHINSON, SHOCKEY, ERLEY & CO. (CHICAGO IL)

IL

07/27/1999 - 09/11/2003

FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)

MO

03/04/1998 - 09/10/1999

EVEREN SECURITIES, INC. (ST. LOUIS MO)

MI

10/25/1996 - 03/19/1998

FIRST OF AMERICA SECURITIES, INC. (KALAMAZOO MI)

IL

12/04/1995 - 11/13/1996

MESIROW FINANCIAL, INC. (CHICAGO IL)

MO

09/04/1990 - 12/13/1995

EVEREN SECURITIES, INC. (ST. LOUIS MO)

NA

01/02/1990 - 09/04/1990

PRESCOTT, BALL & TURBEN, INC.

NA

01/24/1989 - 01/02/1990

GULFSTREAM FINANCIAL ASSOCIATES, INC.

NA

08/08/1988 - 02/03/1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

NA

04/15/1985 - 08/16/1988

WILLIAMS SECURITIES GROUP, INC.

NA

01/26/1977 - 03/08/1985

LEEDY, WHEELER & ALLEMAN, INC.

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Licenses & Designations

BC

Issued 10/19/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/11/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/15/1977

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 Gerard McFarland.
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