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Roger Ivan Toledo

First Trust Advisors LP

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About Roger Ivan Toledo

Roger Ivan Toledo is a registered investment advisor representative with First Trust Advisors LP. Roger is a seasoned professional in the financial industry with over 10 years of experience. Roger has a diverse background, having worked with multiple financial institutions including Morgan Stanley, Ameriprise Financial Services, Inc., and Kovack International Wealth Management, Inc. Roger holds the Series 66, Series 63, Series 3, Series 7, and SIE licenses. Currently, Roger focuses on portfolio management for individuals, businesses, investment companies, and pooled investment vehicles.

Firm Information

Roger Toledo 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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Roger Toledo’s Registration & Firm History

TX

12/15/2020 - Present

First Trust Advisors LP (AUSTIN TX)

FL

06/26/2019 - 12/31/2019

KOVACK INTERNATIONAL WEALTH MANAGEMENT, INC. (Miami FL)

FL

03/26/2010 - 01/24/2019

MORGAN STANLEY (MIAMI FL)

FL

12/06/2007 - 04/11/2008

AMERIPRISE FINANCIAL SERVICES, INC. (MIAMI FL)

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Licenses & Designations

BOTH

Issued 11/03/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/06/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/03/2017

Series 3 - National Commodity Futures Examination

BC

Issued 12/05/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roger Ivan Toledo.
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