SC
Scott I. Colyer
ADVISORS ASSET MANAGEMENT
Monument, CO 80132
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CRD#: 1455160
SC
Professional summary
Scott Irvin Colyer is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Monument, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Name: T&CM Trust Address: 6110 Garlock Way Colorado Springs Title: Trustee time: 3-7 hours per month. Named as Trustee in testamentary trust. The trustee does not have officers or directors but I will serve as sole trustee. not securities investment related. 2) Name: S&LC Family LLC Title: Manager Time: 15-20 hours per month. not securities investment related however we do manage the securities and other property of the family LLC. 3) Name: S&LC Family LLC Address: 135 Mark Twain and 28595 IH10W, Boerne, TX 78006 Title: Managing member Start: 10/30/24 Time: 10 hours per week. As a manager with Lisa Colyer of S&LC Family LLC, the family company has endeavored to boost its investment in classic and collector automobiles. �The company purchases and sells automobiles for the LLC's collection under the d/b/a of Promontory Car Collectors. �We have hired a total of four employees that work for the LLC. �Two of the four were employed as caretakers of our property and two are family members. �Their job is to care for the collection of cars and other LLC property. �I spend roughly 10 hours per week on this activity. �Lisa and I are not paid any additional compensation for this expansion of our prior activities with S&LC Family LLC. �This is merely an expansion of the activity. not securities investment related
CRS (Client Relationship Summary) - RIA
Click below to view Scott Irvin Colyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Irvin Colyer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 6, 2002 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 18925 Base Camp Road Suite 203, Monument, CO 80132Office #2: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Monument, CO
Current
January 3, 2001 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 18925 Base Camp Road Suite 203, Monument, CO 80132Office #2: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Monument, CO
Past
September 17, 1998 - March 1, 2001
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
ST. LOUIS, MO
Past
April 28, 1994 - September 30, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 3, 1989 - April 6, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 13, 1988 - October 10, 1989
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
March 17, 1986 - June 7, 1988
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/21/2001)
RR
Arizona(3/5/2001)
RR
Arkansas(2/5/2001)
RR
California(2/9/2001)
IAR
California(8/6/2002)
RR
Colorado(1/31/2001)
IAR
Colorado(10/14/2004)
RR
Connecticut(2/28/2001)
RR
Delaware(2/26/2001)
RR
Florida(2/5/2001)
RR
Georgia(2/7/2001)
RR
Hawaii(3/20/2001)
RR
Illinois(3/15/2001)
RR
Indiana(2/8/2001)
RR
Iowa(3/1/2001)
RR
Kansas(3/27/2001)
RR
Kentucky(2/20/2001)
RR
Louisiana(2/23/2001)
RR
Maryland(2/5/2001)
RR
Massachusetts(2/15/2001)
RR
Michigan(3/15/2001)
RR
Minnesota(3/19/2001)
RR
Missouri(3/22/2001)
RR
Nebraska(3/26/2001)
RR
Nevada(3/1/2001)
RR
New Hampshire(7/9/2003)
RR
New Jersey(3/6/2001)
RR
New Mexico(2/26/2001)
RR
New York(2/27/2001)
RR
North Carolina(2/15/2001)
RR
North Dakota(7/30/2014)
RR
Ohio(3/1/2001)
RR
Oklahoma(2/9/2001)
RR
Oregon(3/7/2001)
RR
Pennsylvania(2/8/2001)
RR
Puerto Rico(11/5/2010)
RR
South Carolina(2/5/2001)
RR
South Dakota(7/30/2014)
RR
Tennessee(2/16/2001)
RR
Texas(1/3/2001)
RR
Utah(1/31/2001)
RR
Washington(2/5/2001)
RR
Wisconsin(2/12/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727Monument, CO 80132TRUST BUT VERIFY
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