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Sarah Violet Galpin

First Trust Advisors LP

Wheaton, IL

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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 2016-10-20
  • IL RA
    APPROVED
    Since 2016-10-20

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
Bondwave Llc Lisle IL 06/2004 Present
First Trust Portfolios L.P. Lisle IL 10/2004 Present
First Trust Advisors L.P. Wheaton IL 10/2016 Present
  • 06/2004 → Present
    Bondwave Llc
    Lisle, IL
  • 10/2004 → Present
    First Trust Portfolios L.P.
    Lisle, IL
  • 10/2016 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
  • 2009-06-09 → 2016-10-10
    Bondwave Llc
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-03
S63 Uniform Securities Agent State Law Examination 2004-10-15
  • S66 Uniform Combined State Law Examination
    2007-07-03
  • S63 Uniform Securities Agent State Law Examination
    2004-10-15
Other Names
  • Sarah Nicole Galpin
  • Sarah Nicole Schusler
  • Sarah Violet Schusler

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · Wheaton, IL

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