DM
Dennis A. Macdonald
ADVISORS ASSET MANAGEMENT
LAJOLLA, CA
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CRD#: 2126325
DM
Professional summary
Dennis Alan Macdonald, who also goes by Dennis Alan Macdonald Jr, Dennis Alan Macdonald Jr., Dennis Alan Macdonald, Dennis Alan Jr Macdonald, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Lajolla, California.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Dennis has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Alan Macdonald Jr | Dennis Alan Macdonald Jr. | Dennis Alan Macdonald | Dennis Alan Jr Macdonald
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Alan Macdonald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Alan Macdonald'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
December 4, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
LAJOLLA, CA
Current
December 4, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 300 Carnegie Center Suite 100, Princeton, NJ 08540RIA
BD
CRD#: 46727
Princeton, NJ
Past
April 20, 2020 - October 31, 2024
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
RIA
CRD#: 105390
PHILADELPHIA, PA
Past
February 1, 2012 - April 20, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
RIA
CRD#: 152237
PHILADELPHIA, PA
Past
February 1, 2012 - October 31, 2024
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
January 12, 2011 - January 6, 2012
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
November 10, 2008 - October 19, 2010
TCW INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 106546
LOS ANGELES, CA
Past
November 10, 2008 - October 19, 2010
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
LOS ANGELES, CA
Past
May 29, 2001 - April 23, 2008
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
BOSTON, MA
Past
May 29, 2001 - April 23, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
May 24, 2001 - April 23, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
February 3, 1998 - February 2, 2001
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
October 3, 1995 - January 9, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
March 14, 1991 - September 26, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alaska(10/22/2025)
RR
Arizona(10/22/2025)
RR
California(12/4/2024)
IAR
California(12/4/2024)
RR
Colorado(10/22/2025)
RR
Hawaii(12/4/2024)
RR
Idaho(10/22/2025)
RR
Kansas(10/22/2025)
RR
Louisiana(10/22/2025)
RR
Montana(10/22/2025)
RR
Nebraska(10/22/2025)
RR
Nevada(12/16/2024)
RR
New Mexico(10/22/2025)
RR
North Dakota(10/22/2025)
RR
Oklahoma(10/22/2025)
RR
Oregon(10/22/2025)
RR
South Dakota(10/22/2025)
RR
Texas(10/22/2025)
RR
Utah(10/22/2025)
RR
Washington(10/22/2025)
RR
Wyoming(10/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
