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Joshua G. Gongaware

First Trust Advisors LP

Charlotte, NC

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 2008-11-21
  • IL RA
    APPROVED
    Since 2008-11-21

Branch Locations

Charlotte, NC • United States

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 03/2007 Present
  • 03/2007 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
Previous Registrations
  • 2004-03-01 → 2007-02-20
    Keybanc Capital Markets Inc.
    Cleveland, OH
    Cleveland, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-23
  • S66 Uniform Combined State Law Examination
    2004-02-23

View on SEC IAPD

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