Kevin R. Zellers

ADVISORS ASSET MANAGEMENT

Dallas, TX

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CRD#: 4149264

Professional summary

Kevin Raymond Zellers, who also goes by Kevin R Zellers, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Dallas, Texas.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin R Zellers

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Raymond Zellers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Raymond Zellers's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 15, 2023 - Present

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Dallas, TX

Current

August 15, 2023 - Present

ADVISORS ASSET MANAGEMENT, INC.

Office #1: 300 Carnegie Center Suite 100, Princeton, NJ 08540

RIA

CRD#: 46727

Princeton, NJ

Past

May 5, 2022 - August 3, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Plano, TX

Past

May 4, 2022 - August 3, 2023

MORGAN STANLEY

CRD#: 149777

Plano, TX

Past

January 4, 2021 - April 11, 2022

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

April 9, 2012 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

April 3, 2012 - April 11, 2022

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

November 6, 2006 - April 3, 2012

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

STRONGSVILLE, OH

Past

November 3, 2006 - April 3, 2012

KEY INVESTMENT SERVICES LLC

CRD#: 136300

STRONGSVILLE, OH

Past

September 27, 2006 - November 7, 2006

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

SEVEN HILLS, OH

Past

December 17, 2004 - November 7, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

SEVEN HILLS, OH

Past

September 23, 2002 - January 12, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CLEVELAND, OH

Past

August 2, 2002 - January 12, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 12, 2000 - August 7, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Louisiana
(8/15/2023)

New Mexico
(10/27/2025)

Oklahoma
(8/15/2023)

Texas
(8/15/2023)

IAR

Texas
(8/15/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAM ADV PART 2A BROCHURE (3/21/2025)

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.

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Firm Stability Insights

Kevin R. Zellers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Raymond Zellers's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Raymond Zellers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISORS ASSET MANAGEMENT, INC.

MORGAN STANLEY

MORGAN STANLEY

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ADVISORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2000

FINRA

Nasdaq Stock Market

Current Firm

ADVISORS ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ADVISORS ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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