©2019 Advisors Asset Management, Inc.Advisors Asset Management, Inc. (AAM) is a SEC registered investment

advisor and member FINRA/SIPC.

18925 BASE CAMP ROAD • MONUMENT, CO 80132

CRN: 2019-0408-7360 R

Scott ColyerChief Executive Of� cer

& Chief Investment Of� cer

At AAM, our business model is built on creatinga true partnership with fi nancial professionalsbecause we know we succeed when they do. For 40 years, fi nancial professionals havecounted on us to help them better serve their clients and grow their businesses. It’s been a great ride thus far and we look forward to being there for you every step of the way inthe future.

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SERVING ADVISORSSINCE 1979

www.aamlive.com

*As of March 31, 2019, the brokerage and advised business at AAM represents approximately $27.6 billion in assets. (Assets under supervision represent $6.7 billion in UIT assets. The fi rm has $19.0 billion in assets under administration that represents the non-proprietary assets for which AAM provides various levels of service, but not management. The fi rm’s $1.9 billion in assets under management represents AAM’s proprietary separately managed account, mutual fund and ETF assets.)

MILESTONES: A LONG HISTORYOF INNOVATION AND GROWTH

FIXEDINCOME

STRUCTUREDPRODUCTS

MANAGEDACCOUNTS

EXCHANGE-TRADEDFUNDS

Fixed Income Securities (FIS) founded

Firm launches SeparatelyManaged Account (SMA) group

FIS adds Structured Productsto its product line

AAM enters into strategic partnership with fi rst institutional SMA manager

AAM launches fi rst mutual fund in the AAM Fund Family

AAM rings the Closing Bell at NYSE

AAM celebrates its40th Anniversary

FIS develops Bond Express, the fi rst electronic database

for dealer bond listings

Firm becomes a Unit Investment Trust (UIT) sponsor

Firm becomes Advisors AssetManagement, Inc.

AAM enters ETF market

1992

2004

1979

2003

2006

2010

2011

2019

2018

2012

2017

2008

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AAM named Structured Investment Advisor of the Year and awarded U.S. Deal of the Year by mtn-i 2017-2019

UNIT INVESTMENTTRUSTS

MUTUALFUNDS

AN ADVISOR’SDESTINATIONFOR FINANCIALSOLUTIONS.

AAM named an “Inc. 5000” fastest growing company for

the third consecutive year

Since our founding in 1979, AAM has had one mission: empower fi nancial professionals to succeed.

AAM has evolved over the years from a small fi xed income provider into a robust distributor of carefully sourced, vetted, and supported investment solutions with over $27 billion in assets.* Whether you want to build a custom fi xed income portfolio or access one of AAM’s diverse range of solutions, we deliver innova-tive investments and services which are relevant and have the potential to meet today’s challenges.

We take the time to get to know you and your business, and provide you with the solutions, services, and support that complement your fi nancial practice. Our results-oriented, advisor-centric service model and industry experience dif-ferentiate us from the competition by adding real value to your fi nancial ser-vices business. Our interests are aligned with yours. We succeed when you do.

OUR MISSIONAAM empowers fi nancial professionals to succeed:• We create lasting partnerships built on a foundation of trust.• We utilize our skills, technology, and market insight to provide sound fi nancial guidance.• We collaborate with fi nancial professionals to provide thoughtful, focused investment solutions for their clients.• We have an unwavering commitment to excellence in everything we do.

WHAT WE OFFERExpanding on our heritage in fi xed income, AAM’s services and investments now cover a range of asset classes either by building specialized proprietary capabilities or developing advisory relationships with select strategic institutional managers. AAM offers:• Investment solutions including Unit Investment Trusts, Mutual Funds, Exchange-Traded Funds, Managed Accounts, Fixed Income, and Structured Products• Sales and distribution services for investment managers seeking opportunities• Bond Services• Portfolio Support• Technological services