DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

DEREK HANS SCHICHT

Advisor at FIRST TRUST ADVISORS LP

WHEATON, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7e252f9b-a69f-06d0-8a6f-a8782f1fb292

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIRST TRUST ADVISORS LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 23, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 23, 1996
First registration: Mar 3, 2003
Dual registered: yes, broker-dealer
Other names: DEREK H SCHICHT
IAPD individual key: 2784336

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIRST TRUST ADVISORS LP	Asset manager	Jun 5, 2015	n/a	yes	WHEATON, IL	Current employment
INVESCO ADVISERS, INC.	Asset manager	Jul 19, 2010	Jun 2, 2015	no	ATLANTA, GA\|DOWNERS GROVE, IL	Previous registration
VAN KAMPEN ADVISORS INC	n/a	Mar 18, 2010	Jun 4, 2010	no	OAKBROOK TERRACE, IL\|HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Oct 25, 2005	no	CHICAGO, IL	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	May 24, 2004	Jul 6, 2005	no	CHICAGO, IL	Previous registration
DWS INVESTMENT MANAGEMENT AMERICAS, INC.	Other adviser	Mar 3, 2003	May 18, 2004	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVESCO ADVISERS, INC.	FIRST TRUST ADVISORS LP	Jun 2, 2015	Jun 5, 2015	3	Firm change	Other
VAN KAMPEN ADVISORS INC	INVESCO ADVISERS, INC.	Jun 4, 2010	Jul 19, 2010	45	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	VAN KAMPEN ADVISORS INC	Oct 25, 2005	Mar 18, 2010	1,605	Firm change after gap	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other
DWS INVESTMENT MANAGEMENT AMERICAS, INC.	BANC ONE SECURITIES CORPORATION	May 18, 2004	May 24, 2004	6	Firm change	Other

Relationships

Registered with (6)

→ FIRST TRUST ADVISORS LPRegistered adviserregistration: current employment
Jun 5, 2015 to presentfactForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Jul 19, 2010 to Jun 2, 2015factForm ADV
→ VAN KAMPEN ADVISORS INCRegistered adviserregistration: previous registration
Mar 18, 2010 to Jun 4, 2010factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Oct 25, 2005factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 24, 2004 to Jul 6, 2005factForm ADV
→ DWS INVESTMENT MANAGEMENT AMERICAS, INC.Registered adviserregistration: previous registration
Mar 3, 2003 to May 18, 2004factForm ADV

Dated events

No dated event names this entity yet.