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Andrew Roggensack

President at First Trust Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Andrew Roggensack is President of First Trust Advisors LP, a Wheaton investment adviser managing $309B. Andrew Roggensack has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 63, Series 24 and SIE.

Role at First Trust Advisors

Title on Schedule A
President
Control
Andrew Roggensack is a control person of First Trust Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Andrew Roggensack has held the filed role since December 2010.

The firm

First Trust Advisors LP
Wheaton, IL

Form ADV filed 30 April 2026

$309B AUM5,731 clients143 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 1996
  3. Passed Series 63 · 1991
  4. Passed Series 7 · 1986

Registrations and exams

Broker registration; no current adviser registration. Andrew Roggensack has passed 4 qualifying exams.

Examinations

Series 6317 June 1991
Name
Uniform Securities Agent State Law Examination
Series 2429 May 1996
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 715 November 1986
Name
General Securities Representative Examination

Individual record

Full name
Andrew Scott Roggensack
CRD
1582059
Firm
First Trust Advisors LP
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Andrew Roggensack work?

Andrew Roggensack has been President of First Trust Advisors LP since December 2010, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 April 2026

Does Andrew Roggensack have a current investment-adviser registration?

Andrew Roggensack has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Andrew Roggensack passed?

Andrew Roggensack has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in November 1986.

Source: IAPD individual record, checked 17 October 2026

Leadership at First Trust Advisors

Sources

  1. IAPD individual record, CRD 1582059. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of First Trust Advisors LP, filed 30 April 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Andrew Roggensack or First Trust Advisors LP and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.