RT
Roger F. Testin
FIRST TRUST ADVISORS LP
WHEATON, IL 60187
Some features on this profile are disabled
CRD#: 2110388
RT
Professional summary
Roger Francis Testin, CFA is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Roger has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Francis Testin's 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®
Experience
Current
October 10, 2001 - Present
FIRST TRUST ADVISORS LP
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187RIA
CRD#: 107027
WHEATON, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FT
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
RIA
Registered Investment Advisory firm - (10/4/1991 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(10/10/2001)
IAR
Texas(1/7/2003)
Exams
Current Firm
FT
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
RIA
Registered Investment Advisory firm - (10/4/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Mailing Address
Phone number
(630) 765-8000
Established
Firm type
Fiscal year end
# of Employees
520
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
Red Flags
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