Robert M. Carr

FIRST TRUST ADVISORS LP

NAPLES, FL 34109

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CRD#: 5586883

Professional summary

Robert M Carr, CFA, who also goes by Robert Carr, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Naples, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Robert has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Carr

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.

Licensed Insurance Agent. Naples, FL. 0 hours spent per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert M Carr'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®

CFA

Chartered Financial Analyst

Experience

Current

December 2, 2024 - Present

FIRST TRUST ADVISORS LP

Office #1: 9130 Galleria Court Suite 202, Naples, FL 34109

RIA

CRD#: 107027

NAPLES, FL

Current

May 12, 2025 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

October 9, 2023 - December 20, 2024

FIRST TRUST INVESTMENT SOLUTIONS L.P.

RIA

CRD#: 328327

NAPLES, FL

Past

December 23, 2009 - December 7, 2023

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

RIA

CRD#: 142672

NAPLES, FL

Past

April 21, 2009 - January 6, 2020

MOORS & CABOT, INC.

RIA

CRD#: 594

NAPLES, FL

Past

February 4, 2009 - January 6, 2020

MOORS & CABOT, INC.

CRD#: 594

NAPLES, FL

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.

Highlighted states indicate IAR registrations

IAR

Florida
(12/2/2024)

IAR

Illinois
(12/2/2024)

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: 2/20/2009

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: 2/3/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/6/2014

Registered Options 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

Robert M. Carr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert M Carr's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST INVESTMENT SOLUTIONS L.P.

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

MOORS & CABOT, INC.

MOORS & CABOT, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2009

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2009

Series 24

Date: 10/13/2025

Series 4

Date: 10/6/2014

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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