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Sean Dempsey Moriarity

First Trust Advisors LP

Wheaton, IL

Boca Raton, FL

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Current Employers
First Trust Advisors Lp

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-03-19
IL RA APPROVED 2008-10-22
  • FL RA
    APPROVED
    Since 2025-03-19
  • IL RA
    APPROVED
    Since 2008-10-22

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Boca Raton, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Trust Portfolios L.P. Lisle IL 08/2005 Present
  • 08/2005 → Present
    First Trust Portfolios L.P.
    Lisle, IL
Previous Registrations
  • 2004-10-20 → 2005-08-11
    Banc Of America Investment Services, Inc.
    Boca Raton, FL
  • 2004-01-02 → 2004-10-20
    Quick & Reilly, Inc.
    Boca Raton, FL
  • 2001-06-26 → 2003-12-19
    Equitable Advisors, Llc
    Boca Raton, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-11
S63 Uniform Securities Agent State Law Examination 1989-08-11
  • S66 Uniform Combined State Law Examination
    2001-07-11
  • S63 Uniform Securities Agent State Law Examination
    1989-08-11

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
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