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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-09-16 |
| TX | RA | APPROVED | 2019-09-16 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Houston, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ftn Financial Capital Markets | Lisle | IL | 04/2015 | 04/2019 |
| Ftn Financial Securities Corp | Lisle | IL | 04/2015 | 04/2019 |
| First Trust Portfolios L.P. | Wheaton | IL | 04/2019 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 04/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-11 |
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