Michael Sprout Shannon

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	2012-10-01

IL RA
APPROVED

Since 2012-10-01

Branch Locations

Naples, FL • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Trust Portfolios L.P.	Wheaton	IL	04/2011	Present

04/2011 → Present

First Trust Portfolios L.P.

Wheaton, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-09-28
S63	Uniform Securities Agent State Law Examination	1997-11-19

S66 Uniform Combined State Law Examination

2012-09-28
S63 Uniform Securities Agent State Law Examination

1997-11-19

View on SEC IAPD

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Exams

Reviews