Stephen A Sperber

Current Employers

First Trust Advisors Lp

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2015-10-06

IL RA
APPROVED

Since 2015-10-06

Branch Locations

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

Downingtown, 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

Organization	City	State	From	To
First Trust Portfolios L.P	Wheaton	IL	05/2014	Present

05/2014 → Present

First Trust Portfolios L.P

Wheaton, IL

Other Businesses

OTHER BUSINESS NAME: CAE SELF STORAGE WILKES-BARRE, LLC. LOCATION: DOWNINGTOWN, PA. NATURE OF BUSINESS: SELF STORAGE FACILITY. POSITION OR TITLE: INVESTOR. RESPONSIBILITIES: STRICKLY INVESTOR. INVESTMENT-RELATED: YES. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 0.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-06
S63	Uniform Securities Agent State Law Examination	2007-08-01

S66 Uniform Combined State Law Examination

2015-10-06
S63 Uniform Securities Agent State Law Examination

2007-08-01

View on SEC IAPD

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Other Businesses

Exams

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