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Stephen Aaron Fox

First Trust Advisors LP

Wheaton, IL

Villanova, PA

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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 2017-12-08
  • IL RA
    APPROVED
    Since 2017-12-08

Branch Locations

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

Villanova, PA • 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
Nuveen Investments New York NY 10/2013 10/2016
First Trust Portfolios L.P. Wheaton IL 10/2017 Present
First Trust Advisors L.P. Wheaton IL 10/2017 Present
Unemployed Long Island City NY 10/2016 09/2017
  • 10/2013 → 10/2016
    Nuveen Investments
    New York, NY
  • 10/2017 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 10/2017 → Present
    First Trust Advisors L.P.
    Wheaton, IL
  • 10/2016 → 09/2017
    Unemployed
    Long Island City, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-08
S63 Uniform Securities Agent State Law Examination 2004-12-09
  • S65 Uniform Investment Adviser Law Examination
    2017-12-08
  • S63 Uniform Securities Agent State Law Examination
    2004-12-09

View on SEC IAPD

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BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
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