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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

JONATHON THOMAS DIGIOVANNI

Advisor at FIRST TRUST ADVISORS LP

WHEATON, IL | CHICAGO, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 21, 2011 to Sep 15, 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: Oct 5, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 5, 2010
First registration: Feb 21, 2011
Dual registered: yes, broker-dealer
Other names: JONATHON T DIGIOVANNI|JONATHAN THOMAS DIGIOVANNI
IAPD individual key: 5816775

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	Dec 8, 2014	n/a	yes	WHEATON, IL\|CHICAGO, IL	Current employment
ASTOR INVESTMENT MANAGEMENT LLC	Former SEC adviser	Jan 2, 2014	Nov 5, 2014	no	CHICAGO, IL	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 19, 2013	Jan 8, 2014	no	CHICAGO, IL	Previous registration
ASTOR ASSET MANAGEMENT LLC	Former SEC adviser	Apr 3, 2013	Jul 15, 2013	no	CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Feb 21, 2011	Aug 17, 2011	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
ASTOR INVESTMENT MANAGEMENT LLC	FIRST TRUST ADVISORS LP	Nov 5, 2014	Dec 8, 2014	33	Firm change	Other
B. RILEY WEALTH ADVISORS, INC.	ASTOR INVESTMENT MANAGEMENT LLC	Jan 8, 2014	Jan 2, 2014	-6	Firm change	Other
ASTOR ASSET MANAGEMENT LLC	B. RILEY WEALTH ADVISORS, INC.	Jul 15, 2013	Jul 19, 2013	4	Firm change	Other
MORGAN STANLEY	ASTOR ASSET MANAGEMENT LLC	Aug 17, 2011	Apr 3, 2013	595	Firm change after gap	Other

Relationships

Registered with (5)

→ FIRST TRUST ADVISORS LPRegistered adviserregistration: current employment
Dec 8, 2014 to presentfactForm ADV
→ ASTOR INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Jan 2, 2014 to Nov 5, 2014factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 19, 2013 to Jan 8, 2014factForm ADV
→ ASTOR ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Apr 3, 2013 to Jul 15, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 21, 2011 to Aug 17, 2011factForm ADV

Dated events

No dated event names this entity yet.