Alyssa Anne Dalby

First Trust Advisors LP

20 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementHigh Net Worth

First Trust Advisors LP

Compensation

Fee-Only (AUM)

Firm Size

555 advisors

Number of Clients

5,033 clients

Average Client Portfolio

$50.9M average

Assets Under Management

$256.3B

Fee Structure

Minimum Investment:$50K

Financial Planning:Investment management only

Location

120 E. Liberty Drive, Suite 400, Wheaton, IL, 60187

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

First Trust Advisors LP

August 2014 - Present · 11 yrs 6 mos

First Trust Portfolios L.P.Broker

April 2014 - Present · 11 yrs 10 mos

Previous Registrations

Calamos Financial Services LLCBroker

February 2011 - May 2012 · 1 yr 3 mos

Calamos Advisors LLC

February 2004 - November 2007 · 3 yrs 9 mos

Calamos Financial Services LLCBroker

October 2002 - January 2009 · 6 yrs 3 mos

Van Kampen Funds INC.Broker

March 2001 - September 2002 · 1 yr 6 mos

State Registrations1 state

AdvisorBrokerBoth

Exams

No exam information available for this advisor.