Kyle K. Ross

FIRST TRUST ADVISORS LP

WHEATON, IL 60187

Some features on this profile are disabled

CRD#: 5845197

Professional summary

Kyle Kenneth Ross is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Kyle has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Kyle Kenneth Ross'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 21, 2019 - Present

FIRST TRUST ADVISORS LP

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

RIA

CRD#: 107027

WHEATON, IL

Current

March 21, 2019 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

November 29, 2018 - March 19, 2019

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

November 1, 2018 - March 19, 2019

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

DOWNERS GROVE, IL

Past

September 7, 2016 - October 29, 2018

STRATEGIC WEALTH PARTNERS

RIA

CRD#: 174052

DEERFIELD, IL

Past

September 26, 2014 - July 27, 2016

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

August 26, 2014 - July 27, 2016

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

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
(3/21/2019)

IAR

Illinois
(3/21/2019)

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

Series 63

Date: 12/18/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/26/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/29/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2014

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)

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

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kyle K. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kyle Kenneth Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

INVESCO DISTRIBUTORS, INC.

INVESCO ADVISERS, INC.

STRATEGIC WEALTH PARTNERS

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/2018

Series 66

Date: 9/26/2014

Series 7TO

Date: 11/29/2018

SIE

Date: 7/27/2016

Series 7

Date: 8/26/2014

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

Similar Advisors