James G. Mcfarland

ADVISORS ASSET MANAGEMENT

Monument, CO 80132

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CRD#: 832774

Professional summary

James Gerard Mcfarland, who also goes by Jerry Mcfarland, is a registered financial professional currently at ADVISORS ASSET MANAGEMENT, INC. located in Monument, Colorado.

James is registered as a RR (Registered Representative) and started their career in finance in 1977. James has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jerry Mcfarland

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) - BD

Click below to view James Gerard Mcfarland'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

April 3, 2018 - Present

ADVISORS ASSET MANAGEMENT, INC.

Office #1: 18925 Base Camp Road Suite 203, Monument, CO 80132

RIA

CRD#: 46727

Monument, CO

Past

January 19, 2016 - January 12, 2018

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

Chicago, IL

Past

September 10, 2014 - January 7, 2016

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

May 11, 2011 - June 23, 2014

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

August 3, 2010 - May 4, 2011

INSPEREX LLC

CRD#: 101420

DELRAY BEACH, FL

Past

September 19, 2003 - July 29, 2010

HUNTINGTON SECURITIES, INC.

CRD#: 2261

CHICAGO, IL

Past

July 27, 1999 - September 11, 2003

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

March 4, 1998 - September 10, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 25, 1996 - March 19, 1998

FIRST OF AMERICA SECURITIES, INC.

CRD#: 36568

KALAMAZOO, MI

Past

December 4, 1995 - November 13, 1996

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

September 4, 1990 - December 13, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 2, 1990 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

January 24, 1989 - January 2, 1990

GULFSTREAM FINANCIAL ASSOCIATES, INC.

CRD#: 19910

Past

August 8, 1988 - February 3, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

Past

April 15, 1985 - August 16, 1988

WILLIAMS SECURITIES GROUP, INC.

CRD#: 3770

Past

January 26, 1977 - March 8, 1985

LEEDY, WHEELER & ALLEMAN, INC.

CRD#: 512

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.

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

Illinois
(4/3/2018)

Texas
(4/3/2018)

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.

Exams

State Security Law Exam

Series 63

Date: 10/19/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/11/2000

General Securities Principal 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

James G. Mcfarland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Gerard Mcfarland's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST EMPIRE SECURITIES, INC.

WINTRUST INVESTMENTS LLC

B. C. ZIEGLER AND COMPANY

INSPEREX LLC

HUNTINGTON SECURITIES, INC.

FIRST TRUST PORTFOLIOS L.P.

WELLS FARGO CLEARING SERVICES, LLC

FIRST OF AMERICA SECURITIES, INC.

MESIROW FINANCIAL, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

GULFSTREAM FINANCIAL ASSOCIATES, INC.

UNDERWOOD, NEUHAUS & CO., INCORPORATED

WILLIAMS SECURITIES GROUP, INC.

LEEDY, WHEELER & ALLEMAN, INC.

Primary Firm SEC Registration

ADVISORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1988

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1977

Series 24

Date: 7/11/2000

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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