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James Joseph Dooling

Advisors Asset Management, Inc.

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About James Joseph Dooling

James Dooling is an investment advisor representative with Advisors Asset Management, Inc. James has been in the industry since January 31, 2005, and has experience working with various clients including high-net-worth individuals, investment companies, and other investment advisors. Prior to Advisors Asset Management, Inc., James worked with Hartford Funds Distributors, LLC, Brinkler Capital Securities, LLC, and F.N. Wolf & Co., Inc.. James holds Series 63, 65, 7 and SIE licenses. James's focus is providing investment advisory services to individuals, businesses, and investment companies.

Firm Information

James Dooling 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 Dooling’s Registration & Firm History

NJ

08/30/2023 - Present

Advisors Asset Management, Inc. (PRINCETON NJ)

PA

12/01/2022 - 08/31/2023

HARTFORD FUNDS DISTRIBUTORS, LLC (Wayne PA)

PA

03/28/2007 - 09/01/2022

BRINKER CAPITAL SECURITIES, LLC (BERWYN PA)

NA

09/12/1991 - 02/02/1994

F.N. WOLF & CO., INC.

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Licenses & Designations

IA

Issued 10/29/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/06/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/27/2007

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 Joseph Dooling.
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