Best Investors Account Sign in

Nicholas Rovi

First Trust Advisors LP

Wheaton, IL

Claim This Profile
Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-08-29
  • IL RA
    APPROVED
    Since 2024-08-29

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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
Th Brokerage Chicago IL 04/2014 03/2020
Unemployed Chicago IL 04/2020 02/2021
Quaracore Chicago IL 02/2021 03/2021
X-Change Financial Access Chicago IL 03/2021 08/2024
First Trust Portfolios L.P. Wheaton IL 08/2024 Present
First Trust Advisors L.P. Wheaton IL 08/2024 Present
  • 04/2014 → 03/2020
    Th Brokerage
    Chicago, IL
  • 04/2020 → 02/2021
    Unemployed
    Chicago, IL
  • 02/2021 → 03/2021
    Quaracore
    Chicago, IL
  • 03/2021 → 08/2024
    X-Change Financial Access
    Chicago, IL
  • 08/2024 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 08/2024 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-28
  • S66 Uniform Combined State Law Examination
    2024-08-28

View on SEC IAPD

Other Firms

BOOSTER ASSET MANAGEMENT, LLC
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE ASSET MANAGEMENT, LLC
BROOKSTONE CAPITAL MANAGEMENT LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
CETERA INVESTMENT ADVISERS LLC
MONETTA FINANCIAL SERVICES INC

Other Investors

CORY JOHN GREBE
ALLAN CURTIS PARLIER
JASON MICHAEL CRUMP
DAVID KEVIN SEITZER
NORMAN CHARLES GARNER
RANDY LEON FLOYD
Julie Marie Cunningham
Nicole Lea Ayers

Other Offices

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

More in Wheaton, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor