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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Kevin Raymond Zellers

Advisor at ADVISORS ASSET MANAGEMENT, INC.

PRINCETON, NJ | Dallas, TX

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Sep 23, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ADVISORS ASSET MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 26, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 26, 2000
First registration: Sep 23, 2002
Dual registered: yes, broker-dealer
Other names: KEVIN R ZELLERS
IAPD individual key: 4149264

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Aug 16, 2023	n/a	yes	PRINCETON, NJ\|Dallas, TX	Current employment
MORGAN STANLEY	Wirehouse	May 5, 2022	Aug 3, 2023	no	Fort Worth, TX\|Plano, TX	Previous registration
AMUNDI ASSET MANAGEMENT US, INC.	Former SEC adviser	Jan 4, 2021	Apr 11, 2022	no	BOSTON, MA	Previous registration
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 9, 2012	Dec 31, 2020	no	BOSTON, MA	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Nov 6, 2006	Apr 3, 2012	no	STRONGSVILLE, OH\|WESTLAKE, OH\|Cleveland, OH\|BRECKSVILLE, OH	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Sep 27, 2006	Nov 7, 2006	no	SEVEN HILLS, OH\|SEVEN HILLS, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 23, 2002	Jan 12, 2005	no	CLEVELAND, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	ADVISORS ASSET MANAGEMENT, INC.	Aug 3, 2023	Aug 16, 2023	13	Firm change	Other
AMUNDI ASSET MANAGEMENT US, INC.	MORGAN STANLEY	Apr 11, 2022	May 5, 2022	24	Firm change	Other
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	AMUNDI ASSET MANAGEMENT US, INC.	Dec 31, 2020	Jan 4, 2021	4	Bulk transfer	Other
KEY INVESTMENT SERVICES LLC	AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Apr 3, 2012	Apr 9, 2012	6	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	KEY INVESTMENT SERVICES LLC	Nov 7, 2006	Nov 6, 2006	-1	Firm change	Other
UBS FINANCIAL SERVICES INC.	AMERIPRISE ADVISOR SERVICES, INC.	Jan 12, 2005	Sep 27, 2006	623	Firm change after gap	Other

Relationships

Registered with (7)

→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Aug 16, 2023 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 5, 2022 to Aug 3, 2023factForm ADV
→ AMUNDI ASSET MANAGEMENT US, INC.Registered adviserregistration: previous registration
Jan 4, 2021 to Apr 11, 2022factForm ADV
→ AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 9, 2012 to Dec 31, 2020factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Nov 6, 2006 to Apr 3, 2012factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Sep 27, 2006 to Nov 7, 2006factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 23, 2002 to Jan 12, 2005factForm ADV

Dated events

Occurred
Aug 3, 2023
Advisor changed firm
Kevin Raymond Zellers left Morgan Stanley for Advisors Asset Management, Inc. (registered 2023-08-16)
Form ADVobserved 5 days ago
Occurred
Apr 11, 2022
Advisor changed firm
Kevin Raymond Zellers left Amundi Asset Management Us, Inc. for Morgan Stanley (registered 2022-05-05)
Form ADVobserved 5 days ago