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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 2013-07-01
  • IL RA
    APPROVED
    Since 2013-07-01

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 07/2013 Present
  • 07/2013 → Present
    First Trust Portfolios L. P.
    Wheaton, IL
Previous Registrations
  • 2007-07-10 → 2010-12-21
    Oberweis Securities, Inc.
    Lisle, IL
    Lisle, IL
    Lisle, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-10
S63 Uniform Securities Agent State Law Examination 1998-02-06
  • S66 Uniform Combined State Law Examination
    2004-09-10
  • S63 Uniform Securities Agent State Law Examination
    1998-02-06

View on SEC IAPD

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