Robert Leo Derochie

Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

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

Other Names

• Robert Leo Derochie