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Michael Wayne York

First Trust Advisors LP

Wheaton, IL

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2010-01-11
  • IL RA
    APPROVED
    Since 2010-01-11

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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. Wheaton IL 01/2010 Present
  • 01/2010 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
Previous Registrations
  • 2003-07-02 → 2004-06-11
    Banc Of America Investment Services, Inc.
    Chicago, IL
  • 2002-05-07 → 2002-12-31
    Stephens
    Charlotte , NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-09
S63 Uniform Securities Agent State Law Examination 2001-02-13
  • S65 Uniform Investment Adviser Law Examination
    2001-11-09
  • S63 Uniform Securities Agent State Law Examination
    2001-02-13

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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