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Jose Dejesus Cervantes

Advisors Asset Management, Inc.

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About Jose Dejesus Cervantes

Jose Cervantes is a registered representative at Advisors Asset Management, Inc. located in Lisle, Illinois. Jose's current registrations include Series 6, 7, 63, and 66 and has been in the industry since 2000. Prior to joining Advisors Asset Management, Inc. Jose worked at Goldman, Sachs & Co. in New York, NY, Claymore Securities, Inc. in Lisle, IL, Chase Investment Services Corp. in Chicago, IL, BANC ONE SECURITIES CORPORATION in Chicago, IL, Goldman, Sachs & Co. in New York, NY and PRUCO SECURITIES CORPORATION in Newark, NJ. Jose specializes in investment company products, variable contracts, general securities and uniform combined state law.

Firm Information

Jose Cervantes 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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Jose Cervantes’s Registration & Firm History

IL

08/23/2010 - Present

Advisors Asset Management, Inc. (LISLE IL)

NY

11/19/2009 - 09/02/2010

GOLDMAN, SACHS & CO. (NEW YORK NY)

IL

09/12/2005 - 06/25/2009

CLAYMORE SECURITIES, INC. (LISLE IL)

IL

07/06/2005 - 09/08/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

03/22/2005 - 07/06/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

NY

01/10/2001 - 03/30/2005

GOLDMAN, SACHS & CO. (NEW YORK NY)

NJ

02/02/2000 - 01/09/2001

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BOTH

Issued 06/03/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/09/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2002

Series 7 - General Securities Representative Examination

BC

Issued 02/01/2000

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 Jose Dejesus Cervantes.
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