Douglas J. Bottaro

FIRST TRUST ADVISORS LP

AVON, CT

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CRD#: 5287373

Professional summary

Douglas James Bottaro, who also goes by Doug Bottaro, Douglas Bottaro, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Avon, Connecticut and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Douglas has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Bottaro | Douglas Bottaro

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 Douglas James Bottaro'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

March 2, 2021 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

AVON, CT

Current

March 1, 2021 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

July 16, 2019 - February 5, 2021

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

May 11, 2017 - July 18, 2019

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

December 12, 2013 - April 28, 2017

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

HARTFORD, CT

Past

December 12, 2013 - April 28, 2017

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

November 1, 2013 - December 3, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

GLASTONBURY, CT

Past

September 12, 2013 - December 3, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

GLASTONBURY, CT

Past

April 9, 2008 - August 18, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

SIMSBURY, CT

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
(3/1/2021)

Illinois
(3/1/2021)

IAR

Illinois
(3/23/2021)

Massachusetts
(3/1/2021)

IAR

Massachusetts
(1/31/2025)

Rhode Island
(3/1/2021)

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: 4/1/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/2008

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Douglas J. Bottaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Bottaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

COREBRIDGE CAPITAL SERVICES, INC.

SAMMONS FINANCIAL NETWORK, LLC

VIRTUS INVESTMENT ADVISERS, LLC

VP DISTRIBUTORS LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2013

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2013

Series 6

Date: 4/8/2008

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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