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Steven Conn

Advisors Asset Management, Inc.

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About Steven Conn

Steven Conn is a financial professional with over 20 years of experience in the industry. Steven has been with Advisors Asset Management, Inc. since 2021, and before that, worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, D.A. Davidson & Co., and The Huntington Investment Company. Steven holds the Series 63, 65, 66, and 7 licenses. Steven is registered to provide investment advice in Texas and Washington. Steven also provides portfolio management for individuals, businesses, and investment companies.

Firm Information

Steven Conn 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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Steven Conn’s Registration & Firm History

FL

05/10/2021 - Present

Advisors Asset Management, Inc. (Boca Raton FL)

WA

05/14/2020 - 04/26/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BAINBRIDGE WA)

WA

11/04/2013 - 04/17/2020

D.A. DAVIDSON & CO. (SEATTLE WA)

OH

09/01/2006 - 11/08/2013

THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)

OH

02/04/2002 - 09/05/2006

HUNTINGTON CAPITAL CORP. (COLUMBUS OH)

NY

09/29/1998 - 06/01/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/22/2020

Series 66 - Uniform Combined State Law Examination

IA

Issued 10/01/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/28/1998

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 Steven Conn.
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