Jonathon T. Digiovanni

FIRST TRUST ADVISORS LP

CHICAGO, IL

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CRD#: 5816775

Professional summary

Jonathon Thomas Digiovanni, who also goes by Jonathan Thomas Digiovanni, Jonathon T Digiovanni, 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.

Jonathon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jonathon has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Thomas Digiovanni | Jonathon T Digiovanni

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 Jonathon Thomas Digiovanni'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 8, 2014 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

CHICAGO, IL

Current

December 8, 2014 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

November 18, 2014 - December 10, 2014

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

January 2, 2014 - November 5, 2014

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

July 19, 2013 - January 8, 2014

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

CHICAGO, IL

Past

July 19, 2013 - June 11, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

April 3, 2013 - July 15, 2013

ASTOR ASSET MANAGEMENT LLC

RIA

CRD#: 116408

CHICAGO, IL

Past

April 3, 2013 - July 15, 2013

VIRTU AMERICAS LLC

CRD#: 149823

CHICAGO, IL

Past

August 17, 2011 - March 12, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

February 21, 2011 - August 17, 2011

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

January 14, 2011 - August 17, 2011

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

September 17, 2010 - November 12, 2010

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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
(12/8/2014)

IAR

Illinois
(12/8/2014)

Texas
(4/5/2017)

IAR

Texas
(7/7/2017)

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 65

Date: 2/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/2024

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2022

General Securities 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

Jonathon T. Digiovanni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathon Thomas Digiovanni's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FORESIDE FUND SERVICES, LLC

ASTOR INVESTMENT MANAGEMENT LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

ASTOR ASSET MANAGEMENT LLC

VIRTU AMERICAS LLC

DWS DISTRIBUTORS, INC.

MORGAN STANLEY

MORGAN STANLEY

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 2/18/2011

Series 63

Date: 10/5/2010

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2010

Series 4

Date: 8/3/2024

Series 24

Date: 7/1/2022

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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