Andrew Scott Roggensack
Professional Summary
Andrew Scott Roggensack is a registered financial advisor currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois. Andrew is registered as a RR (Registered Representative) and started their career in finance in 1986. Andrew has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.
Contact Information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Mailing Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Phone Number
(630) 765-8000Established
Illinois since 05/10/1991Firm Type
PartnershipFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | — |
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 |
| THE CHARGER CORPORATION | GENERAL PARTNER | — |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/25/1991)
(11/21/2017)
(12/14/2017)
(11/21/2017)
(8/8/2007)
(12/14/2017)
(12/13/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Andrew Scott Roggensack's CRS (Customer Relationship Summary).
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