AP
Alan I. Panzer
ADVISORS ASSET MANAGEMENT
Atlanta, GA
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CRD#: 2336082
AP
Professional summary
Alan Ira Panzer is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Atlanta, Georgia.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 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. EMERGE CAPITAL MANAGEMENT INC, INVESTMENT RELATED, 500 PEARL STREET SUITE 740 BUFFALO NY 14202, REGISTERED INVESMENT ADVISOR, DIRECTOR SE REGION, 01/2022, 80 HRS/MON, 65 HRS/MON DURING TRADING, BUSINESS DEVELOPMENT. 2. ALPS DISTRIBUTORS, INC, INVESTMENT RELATED, 1290 BROADWAY SUITE 1000 DENVER CO 80203, BROKER/DEALER, REGISTERED REPRESENTATIVE, 09/2022, 80 HRS/MON, 65 HRS/MON DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Ira Panzer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Ira Panzer'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
September 21, 2023 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
Atlanta, GA
Current
September 19, 2023 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 300 Carnegie Center Suite 100, Princeton, NJ 08540RIA
BD
CRD#: 46727
Princeton, NJ
Past
December 2, 2022 - October 12, 2023
EMERGE CAPITAL MANAGEMENT
RIA
CRD#: 284581
Atlanta, GA
Past
October 27, 2022 - July 14, 2023
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
August 22, 2019 - September 14, 2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
June 25, 1996 - May 31, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
April 25, 1994 - May 24, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 23, 1993 - April 29, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 12, 1993 - June 22, 1993
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, 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
Florida(9/20/2023)
RR
Georgia(9/21/2023)
IAR
Georgia(9/21/2023)
RR
South Carolina(4/8/2025)
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.
