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Seth Adam Franck

Advisors Asset Management, Inc.

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About Seth Adam Franck

Seth Adam Franck is a registered investment advisor representative with Advisors Asset Management, Inc. Seth has been in the industry since March 14, 2002. Seth is registered in Colorado. Seth has passed the Series 7, Series 63, Series 66 and SIE exams. He is a member of FINRA. Seth specializes in providing portfolio management services for individuals, businesses and investment companies. He is also a supervisor/evaluator for unit investment trusts.

Firm Information

Seth Franck 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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Seth Franck’s Registration & Firm History

CO

06/02/2005 - Present

Advisors Asset Management, Inc. (MONUMENT CO)

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Licenses & Designations

BOTH

Issued 12/06/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/26/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2002

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 Seth Adam Franck.
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