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Douglas James Bottaro

First Trust Advisors LP

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About Douglas James Bottaro

Douglas Bottaro is a registered investment advisor representative with First Trust Advisors LP. Douglas is a registered representative with FINRA and has been in the securities industry since June 15, 2012. Douglas has a Series 6, 7 and 66 license and has held previous positions with AIG Capital Services, Inc., Sammons Financial Network, LLC and VP Distributors LLC.

Firm Information

Douglas Bottaro is currently registered with First Trust Advisors LP. First Trust Advisors LP is an investment advisor headquartered in Wheaton, Illinois, with over 210 billion in assets under management. The firm provides portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. They specialize in ETF development and management and offer a variety of investment strategies, including index tracking, active management, and alternative investments. First Trust Advisors LP also publishes periodicals and selects other advisors for its clients.
First Trust Advisors LP

120 E. LIBERTY DRIVE

WHEATON, IL 60187

$210.88B

Assets Under Management

Not reported

Total Clients

499

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fixed fees per unit (uits) for portfolio supervisory services

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Douglas Bottaro’s Registration & Firm History

IL

03/23/2021 - Present

First Trust Advisors LP (WHEATON IL)

NJ

07/16/2019 - 02/05/2021

AIG CAPITAL SERVICES, INC. (JERSEY CITY NJ)

IA

05/11/2017 - 07/18/2019

SAMMONS FINANCIAL NETWORK, LLC (WEST DES MOINES IA)

CT

12/12/2013 - 04/28/2017

VP DISTRIBUTORS LLC (HARTFORD CT)

CT

09/12/2013 - 12/03/2013

METLIFE SECURITIES INC. (GLASTONBURY CT)

CT

04/09/2008 - 08/18/2009

HARTFORD EQUITY SALES COMPANY INC. (SIMSBURY CT)

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Licenses & Designations

BOTH

Issued 04/01/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/2013

Series 7 - General Securities Representative Examination

BC

Issued 04/08/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas James Bottaro.
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