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Nicholas Kates Pelletier

First Trust Advisors LP

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About Nicholas Kates Pelletier

Nicholas Kates Pelletier is an investment advisor representative associated with First Trust Advisors LP. Nicholas is a Chartered Financial Analyst with a broad range of experience in the financial services industry. Nicholas has been active in the industry since 2014, and has held various positions at firms like IMST Distributors, LLC and VP Distributors LLC. In addition to Series 7 and Series 66 licenses, Nicholas also holds the SIE designation. Currently, Nicholas is associated with First Trust Advisors LP and First Trust Portfolios LP in their Wheaton, IL office. Nicholas specializes in portfolio management for individuals, investment companies, pooled investment vehicles and businesses.

Firm Information

Nicholas Pelletier 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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Nicholas Pelletier’s Registration & Firm History

NY

09/15/2022 - Present

First Trust Advisors LP (NEW YORK NY)

ME

11/18/2019 - 08/22/2022

IMST DISTRIBUTORS, LLC (PORTLAND ME)

CT

12/19/2013 - 10/15/2019

VP DISTRIBUTORS LLC (HARTFORD CT)

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Licenses & Designations

BOTH

Issued 06/11/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Kates Pelletier.
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