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Nicholas Pontrello

First Trust Advisors LP

Wheaton, IL

Conshohocken, PA

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-11-24
  • IL RA
    APPROVED
    Since 2021-11-24

Branch Locations

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

Conshohocken, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fortress Investment Group New York NY 09/2016 06/2017
Natixis New York NY 07/2017 05/2021
Unemployed Marlton NJ 05/2021 07/2021
First Trust Portfolios L.P. Wheaton IL 07/2021 Present
First Trust Advisors L.P. Wheaton IL 07/2021 Present
  • 09/2016 → 06/2017
    Fortress Investment Group
    New York, NY
  • 07/2017 → 05/2021
    Natixis
    New York, NY
  • 05/2021 → 07/2021
    Unemployed
    Marlton, NJ
  • 07/2021 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 07/2021 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-23
S63 Uniform Securities Agent State Law Examination 2021-11-12
  • S65 Uniform Investment Adviser Law Examination
    2021-11-23
  • S63 Uniform Securities Agent State Law Examination
    2021-11-12
Other Names
  • Nicholas A Pontrello

View on SEC IAPD

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BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
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