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Nicholas Bustos

Advisors Asset Management, Inc.

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About Nicholas Bustos

Nicholas Bustos is a financial advisor with Advisors Asset Management, Inc. Nicholas is a Registered Representative with FINRA and is licensed to sell securities in the state of Texas. Nicholas has over 2 years of experience in the financial services industry. Prior to joining Advisors Asset Management, Inc., Nicholas worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and J.P. MORGAN SECURITIES LLC. Nicholas specializes in Portfolio Management for Individuals, Portfolio Management for Investment Companies and Portfolio Management for Businesses.

Firm Information

Nicholas Bustos 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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Nicholas Bustos’s Registration & Firm History

TX

03/29/2021 - Present

Advisors Asset Management, Inc. (BOERNE TX)

TX

12/17/2020 - 03/18/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN ANTONIO TX)

TX

03/01/2019 - 10/07/2020

J.P. MORGAN SECURITIES LLC (SAN ANTONIO TX)

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Licenses & Designations

BC

Issued 03/20/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/2019

Series 7TO - General Securities Representative Examination

BC

Issued 01/16/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Nicholas Bustos.
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