David P. Assell

Some features on this profile are disabled

CRD#: 4406995

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David P Assell, who also goes by David Patrick Assell, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Patrick Assell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 22, 2011 - December 17, 2014

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

November 3, 2010 - December 17, 2014

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

January 27, 2010 - November 22, 2010

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

PLEASANT HILL, CA

Past

January 26, 2010 - November 22, 2010

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

PLEASANT HILL, CA

Past

June 9, 2005 - February 23, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

PLEASANT HILL, CA

Past

February 3, 2003 - February 23, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

July 30, 2001 - February 14, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WEST PALM BEACH, FL

Past

July 27, 2001 - February 14, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/17/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/24/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/26/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/4/2010

General Securities Principal Examination

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

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David P. Assell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2001

SIE

Date: 12/17/2014

Series 31

Date: 8/24/2001

Series 7

Date: 7/26/2001

Series 24

Date: 5/4/2010

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