Derek H. Schicht

FIRST TRUST ADVISORS LP

WHEATON, IL 60187

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CRD#: 2784336

Professional summary

Derek Hans Schicht, who also goes by Derek H Schicht, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Derek has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek H Schicht

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.

OTHER BUSINESS NAME: RENTAL PROPERTY. LOCATION: 845 N KINGSBURY STREET, UNIT 710 CHICAGO IL 60610. NATURE OF BUSINESS: RENTAL PROPERTY. POSITION OR TITLE: OWNER. RESPONSIBILITIES: LANDLORD. INVESTMENT RELATED: NO. HOURS PER MONTH: 1 HOUR PER MONTH / NONE DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Hans Schicht'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

June 5, 2015 - Present

FIRST TRUST ADVISORS LP

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

RIA

CRD#: 107027

WHEATON, IL

Current

June 4, 2015 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

July 19, 2010 - June 2, 2015

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

DOWNERS GROVE, IL

Past

June 1, 2010 - June 2, 2015

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

March 18, 2010 - June 4, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

February 26, 2010 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

June 7, 2007 - October 16, 2008

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

LISLE, IL

Past

November 4, 2005 - January 18, 2007

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

July 6, 2005 - October 25, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - October 25, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

May 24, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CHICAGO, IL

Past

May 24, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

March 3, 2003 - May 18, 2004

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

CHICAGO, IL

Past

February 21, 2001 - May 18, 2004

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

February 1, 1999 - February 8, 2001

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

July 31, 1998 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

Past

November 19, 1996 - July 15, 1998

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

August 21, 1996 - October 23, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

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

Illinois
(6/4/2015)

IAR

Illinois
(6/5/2015)

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: 3/17/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1996

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: 8/20/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/2/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/1999

General Securities 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Derek H. Schicht

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Hans Schicht's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

VOYA FINANCIAL PARTNERS, LLC

MFS FUND DISTRIBUTORS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

DWS DISTRIBUTORS, INC.

BANC ONE SECURITIES CORPORATION

WINGSPAN INVESTMENT SERVICES

AMERIPRISE ADVISOR SERVICES, INC.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2010

Series 63

Date: 8/23/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1996

Series 4

Date: 2/2/2000

Series 24

Date: 4/19/1999

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

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