Best Investors Account Sign in

David Lee Roth

First Trust Advisors LP

Wheaton, IL

Austin, TX

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 2023-08-21
TX RA APPROVED 2023-08-21
  • IL RA
    APPROVED
    Since 2023-08-21
  • TX RA
    APPROVED
    Since 2023-08-21

Branch Locations

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

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • 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
First Trust Portfolios L.P. Wheaton IL 07/2023 Present
First Trust Advisors L.P. Wheaton IL 07/2023 Present
Blair Jarboe Insurance Group Louisville KY 09/2022 06/2023
K5 Capital Group Lexington KY 05/2021 09/2022
Bluegrass Landing Lexington KY 12/2019 12/2020
Louisville Country Club Louisville KY 02/2017 08/2019
Unempoyed Louisville KY 07/2013 02/2017
Unemployed Louisville KY 08/2019 12/2019
Unemployed Louisville KY 12/2020 05/2021
  • 07/2023 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 07/2023 → Present
    First Trust Advisors L.P.
    Wheaton, IL
  • 09/2022 → 06/2023
    Blair Jarboe Insurance Group
    Louisville, KY
  • 05/2021 → 09/2022
    K5 Capital Group
    Lexington, KY
  • 12/2019 → 12/2020
    Bluegrass Landing
    Lexington, KY
  • 02/2017 → 08/2019
    Louisville Country Club
    Louisville, KY
  • 07/2013 → 02/2017
    Unempoyed
    Louisville, KY
  • 08/2019 → 12/2019
    Unemployed
    Louisville, KY
  • 12/2020 → 05/2021
    Unemployed
    Louisville, KY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-18
  • S66 Uniform Combined State Law Examination
    2023-05-18

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