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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 2019-08-22
  • IL RA
    APPROVED
    Since 2019-08-22

Branch Locations

Yardley, PA • United States

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
Pacific Life Newport Beach CA 04/2008 01/2019
Pacific Select Distributors Newport Beach CA 05/2008 01/2019
First Trust Portfolios L.P. Wheaton IL 01/2019 Present
First Trust Advisors L.P. Wheaton IL 01/2019 Present
  • 04/2008 → 01/2019
    Pacific Life
    Newport Beach, CA
  • 05/2008 → 01/2019
    Pacific Select Distributors
    Newport Beach, CA
  • 01/2019 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 01/2019 → Present
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-22
S63 Uniform Securities Agent State Law Examination 2003-02-27
  • S66 Uniform Combined State Law Examination
    2019-08-22
  • S63 Uniform Securities Agent State Law Examination
    2003-02-27

View on SEC IAPD

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