Andrew S. Roggensack

FIRST TRUST PORTFOLIOS L.P.

WHEATON, IL 60187

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CRD#: 1582059

Professional summary

Andrew Scott Roggensack is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Scott Roggensack's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 25, 1991 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

November 21, 1986 - October 1, 1991

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/25/1991)

Indiana
(11/21/2017)

New Mexico
(12/14/2017)

Ohio
(11/21/2017)

Puerto Rico
(8/8/2007)

Rhode Island
(12/14/2017)

Texas
(12/13/2017)

Exams

State Security Law Exam

Series 63

Date: 6/17/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.

CRD#: 28519 / SEC#: , 8-43843

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Phone number

(630) 765-8000

Established

Illinois since 05/10/1991

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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	CHIEF OPERATING OFFICER	2945880
MCGAREL, DAVID GERARD	MANAGING DIRECTOR	2945880
ROGGENSACK, ANDREW SCOTT	PRESIDENT	1582059
THE CHARGER CORPORATION	GENERAL PARTNER

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Andrew S. Roggensack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Scott Roggensack's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

CLAYTON BROWN & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/1991

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 24

Date: 5/29/1996

FINRA

Current Firm

FIRST TRUST PORTFOLIOS L.P.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST TRUST PORTFOLIOS L.P.

TRUST BUT VERIFY

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