Robert Leo Derochie

Current Employers

First Trust Advisors Lp

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2022-09-01
IL	RA	APPROVED	2009-04-24

TN RA
APPROVED

Since 2022-09-01
IL RA
APPROVED

Since 2009-04-24

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

College Grove, TN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Trust Portfolios	Lisle	IL	04/2009	Present

04/2009 → Present

First Trust Portfolios

Lisle, IL

Previous Registrations

2005-03-15 → 2009-05-07

Stonebridge Advisors Llc

Wilton, CT
2004-04-23 → 2005-03-21

Stonebridge Asset Management,Llc

New Canann, CT

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2010-05-06
S65	Uniform Investment Adviser Law Examination	2004-03-24

S63 Uniform Securities Agent State Law Examination

2010-05-06
S65 Uniform Investment Adviser Law Examination

2004-03-24

Other Names

Robert Leo Derochie

View on SEC IAPD

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews