Devin D. Iafelice

FIRST TRUST ADVISORS LP

WHEATON, IL 60187

Some features on this profile are disabled

CRD#: 6636174

Professional summary

Devin D Iafelice, who also goes by Devin David Iafelice, 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.

Devin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Devin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Devin David Iafelice

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 Devin D Iafelice'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

November 17, 2021 - Present

FIRST TRUST ADVISORS LP

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

RIA

CRD#: 107027

WHEATON, IL

Current

November 5, 2021 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

December 9, 2019 - October 29, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

August 29, 2018 - October 23, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST ROCHESTER, NY

Past

August 22, 2018 - October 23, 2019

LPL FINANCIAL LLC

CRD#: 6413

EAST ROCHESTER, NY

Past

February 14, 2018 - March 21, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCHESTER, NY

Past

February 14, 2018 - March 21, 2018

LPL FINANCIAL LLC

CRD#: 6413

ROCHESTER, NY

Past

July 7, 2017 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

ROCHESTER, NY

Past

June 13, 2017 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

ROCHESTER, NY

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
(11/16/2021)

IAR

Illinois
(11/17/2021)

Ohio
(7/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2017

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: 6/13/2017

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

Devin D. Iafelice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Devin D Iafelice's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FORESIDE FUND SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2017

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