Douglas James Bottaro

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

• 11/2013 → 04/2017
  Virtus Investment Partners
  Hartford, CT
• 12/2013 → 04/2017
  Vp Distributors Llc
  Hartford, CT
• 05/2017 → 07/2019
  Sammons Retirement Solutions
  West Des Moines, IA
• 05/2017 → 07/2019
  Sammons Financial Network
  West Des Moines, IA
• 07/2019 → Present
  American General Life Insurance
  Woodland Hills, CA
• 07/2019 → Present
  Aig Capital Services, Inc.
  Woodland Hills, CA
• 02/2021 → Present
  First Trust Portfolios L.P.
  Wheaton, IL
• 02/2021 → Present
  First Trust Advisors L.P.
  Wheaton, IL

Previous Registrations

• 2013-12-12 → 2017-04-28
  Virtus Investment Advisers, Llc
  Hartford, CT
• 2013-11-01 → 2013-12-03
  Msi Financial Services, Inc.
  Glastonbury, CT

Exams

• S66 Uniform Combined State Law Examination
  2013-04-01

Other Names

• Douglas Bottaro
• Doug Bottaro