Derek D. Maltbie
Professional summary
Derek Dale Maltbie, who also goes by Derek D Maltbie, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Derek is registered as a RR (Registered Representative) and started their career in finance in 1996. Derek has worked at 3 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Derek Dale Maltbie's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2014 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187April 25, 2005 - July 18, 2013
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
January 1, 1996 - April 19, 2005
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
FIRST TRUST PORTFOLIOS L.P.
CRD#: 28519 / SEC#: , 8-43843
Contact information
FINRA licenses (52 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 | 4 |
Red Flags
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