Kurt R. Winkler

FIRST TRUST ADVISORS LP

AURORA, OH

Some features on this profile are disabled

CRD#: 2272404

Professional summary

Kurt Randolph Winkler, who also goes by Kurt R Winkler, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Aurora, Ohio and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kurt has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kurt R Winkler

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) - RIA

Click below to view Kurt Randolph Winkler'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 17, 2021 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

AURORA, OH

Current

November 5, 2021 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

June 6, 2019 - October 29, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

November 8, 2018 - March 8, 2019

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

November 19, 2010 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

Aurora, OH

Past

November 17, 2010 - March 8, 2019

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

December 3, 2008 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

AURORA, OH

Past

January 22, 2003 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

AURORA, OH

Past

January 1, 2002 - December 1, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

February 2, 1999 - January 1, 2002

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

Past

May 19, 1994 - July 28, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 28, 1992 - October 16, 1992

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

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".

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.

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

Connecticut
(3/5/2025)

Delaware
(3/5/2025)

District of Columbia
(3/5/2025)

Illinois
(11/5/2021)

IAR

Illinois
(11/17/2021)

Indiana
(7/21/2025)

Iowa
(7/21/2025)

Kansas
(7/21/2025)

Kentucky
(7/21/2025)

Maine
(3/5/2025)

Maryland
(3/5/2025)

Massachusetts
(3/5/2025)

Michigan
(7/21/2025)

Minnesota
(7/21/2025)

Missouri
(7/21/2025)

Nebraska
(7/21/2025)

New Hampshire
(3/5/2025)

New Jersey
(3/5/2025)

New York
(3/5/2025)

North Carolina
(3/5/2025)

North Dakota
(7/21/2025)

Ohio
(11/5/2021)

Pennsylvania
(3/5/2025)

Rhode Island
(3/5/2025)

South Dakota
(7/21/2025)

Vermont
(3/5/2025)

Virginia
(3/5/2025)

West Virginia
(3/5/2025)

Wisconsin
(7/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1992

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: 9/23/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/5/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kurt R. Winkler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kurt Randolph Winkler's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FORESIDE FUND SERVICES, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE WOOD LOGAN, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

L.C. WEGARD & CO., INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/1996

Series 63

Date: 9/29/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/23/1992

Series 26

Date: 6/5/2006

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

Similar Advisors