Joseph A. Saracco

FIRST TRUST ADVISORS LP

AUSTIN, TX

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CRD#: 5741645

Professional summary

Joseph Albert Saracco, who also goes by Joe A Saracco, Joe Albert Saracco, Joe Saracco, Joseph A Saracco, Joseph Saracco, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Austin, Texas and FIRST TRUST PORTFOLIOS L.P. located in Austin, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Joseph has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe A Saracco | Joe Albert Saracco | Joe Saracco | Joseph A Saracco | Joseph Saracco

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 Joseph Albert Saracco'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

December 17, 2019 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

AUSTIN, TX

Current

December 17, 2019 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701

CRD#: 28519

Austin, TX

Past

October 30, 2012 - May 29, 2014

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

October 30, 2012 - May 29, 2014

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

March 1, 2010 - October 31, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

FRAMINGHAM, MA

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
(12/17/2019)

IAR

Illinois
(12/17/2019)

Texas
(12/17/2019)

IAR

Texas
(12/17/2019)

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: 1/9/2019

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/8/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/17/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/2010

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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Joseph A. Saracco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Albert Saracco's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2019

Series 65

Date: 10/8/2012

Series 63

Date: 3/5/2010

Series 7TO

Date: 12/17/2019

SIE

Date: 11/30/2018

Series 7

Date: 2/26/2010

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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