Vince D. Dagostino

FIRST TRUST ADVISORS LP

CHICAGO, IL

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CRD#: 4379320

Professional summary

Vince Dino Dagostino, who also goes by VInce D D'agostino, Vince D Dagostino, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Chicago, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Vince is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Vince has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vince D D'agostino | Vince D Dagostino

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: STEREO. LOCATION: 5616 W. DIVERSY CHICAGO, IL 60639. NATURE OF BUSINESS: NIGHTCLUB. POSITION OR TITLE: GENERAL MANAGER. RESPONSIBILITIES: MANAGEMENT. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS). 40 TOTAL/0 DURING MARKET HOURS. OTHER BUSINESS NAME: BURGER BUDDIES LLC LOCATION: 493 W. MONTROSE AVE. ELMHURST, IL 60126. NATURE OF BUSINESS: INVESTS IN A RESTAURANT. POSITION OR TITLE: MANAGING MEMBER OF THE LLC. RESPONSIBILITIES: NO DAY-TO-DAY RESPONSIBILITIES. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): O TOTAL/O DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vince Dino Dagostino'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 28, 2018 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

CHICAGO, IL

Current

November 13, 2018 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

March 11, 2002 - December 11, 2009

SPIKE FINANCIAL SERVICES, LLC

CRD#: 112193

CHICAGO, 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".

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

California
(9/2/2022)

Illinois
(11/28/2018)

IAR

Illinois
(11/28/2018)

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 66

Date: 11/27/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/12/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2001

General Securities Representative 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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Firm Stability Insights

Vince D. Dagostino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vince Dino Dagostino's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

SPIKE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2018

Series 7TO

Date: 11/12/2018

SIE

Date: 11/3/2018

Series 7

Date: 8/3/2001

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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