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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2011-10-21 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Yardley, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Trust Portfolios L.P. | Wheaton | IL | 12/2005 | Present |
OTHER BUSINESS NAME: EGGY LADY, LLC. LOCATION: 221 EMBER TRAIL, LEICESTER, VT, 05733. NATURE OF BUSINESS: RENTAL PROPERTY. POSITION: CO-OWNER. RESPONSIBILITIES: CO-OWNER. INVESTMENT-RELATED: NO. HOURS PER MONTH: 0 HOURS PER MONTH, 0 HOURS DURING MARKET HOURS. OTHER BUSINESS NAME: NOTORIOUS WINES INC. LOCATION: WILMINGTON, DE. NATURE OF BUSINESS: INVESTMENT IN NOTORIOUS. POSITION OR TITLE: MANAGING DIRECTOR. RESPONSIBILITIES: NONE. START DATE: OCT 29, 2023. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0. OTHER BUSINESS NAME: IK START USA. LOCATION: KRISTIANSTAD, NORWAY. NATURE OF BUSINESS: SOCCER TEAM. POSITION OR TITLE: NO TITLE. RESPONSIBILITIES: NO RESPONSIBILITITES. START DATE: FEB 20, 2025. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-28 |
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