Jeffrey Stephen Barnum

Current Employers

First Trust Advisors Lp

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2012-08-10

IL RA
APPROVED

Since 2012-08-10

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

Organization	City	State	From	To
First Trust Portfolios L.P.	Lisle	IL	07/1997	Present

07/1997 → Present

First Trust Portfolios L.P.

Lisle, IL

Other Businesses

OTHER BUSINESS NAME: BIG CAT COLLECTIONS, LLC. LOCATION: 28095 GRAY BARN LANE, LAKE BARRINGTON, IL 60010. NATURE OF BUSINESS: BUYING AND SELLING SPORTS MEMORABILIA AND OTHER COLLECTABLES. POSITION OR TITLE: OWNER. RESPONSIBILITIES: BUY AND SELL SPORTS MEMORABILIA THROUGH EBAY. START DATE: JAN 09, 2023. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-08-09
S63	Uniform Securities Agent State Law Examination	1997-03-21

S66 Uniform Combined State Law Examination

2012-08-09
S63 Uniform Securities Agent State Law Examination

1997-03-21

View on SEC IAPD

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

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