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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 2012-01-24
  • IL RA
    APPROVED
    Since 2012-01-24

Branch Locations

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

Grand Rapids, MI • 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 Lisle IL 07/2004 Present
  • 07/2004 → Present
    First Trust Portfolios L P
    Lisle, IL
Other Businesses

OTHER BUSINESS NAME: FED VENTURES, LLC. LOCATION: N/A. NATURE OF BUSINESS: PASSIVE INVESTMENT. POSITION OR TITLE: MEMBER/PASSIVE INVESTOR. RESPONSIBILITIES: PASSIVE INVESTOR. INVESTMENT-RELATED: YES. HOURS PER MONTH: (TOTAL/DURING MARKET HOURS): 0 TOTAL/NONE DURING MARKET HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-23
S63 Uniform Securities Agent State Law Examination 2004-09-01
  • S66 Uniform Combined State Law Examination
    2012-01-23
  • S63 Uniform Securities Agent State Law Examination
    2004-09-01

View on SEC IAPD

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