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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 2012-08-07
  • IL RA
    APPROVED
    Since 2012-08-07

Branch Locations

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

Verona, WI • 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 04/2008 Present
  • 04/2008 → Present
    First Trust Portfolios L.P.
    Lisle, IL
Other Businesses

OTHER BUSINESS NAME: CASTILLO GAMES. LOCATION: MADISON, WI. NATURE OF BUSINESS: BOARD GAME COMPANY. POSITION OR TITLE: PASSIVE INVESTOR. RESPONSIBILITIES: NONE. START DATE: DEC 15, 2025. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-06
S63 Uniform Securities Agent State Law Examination 2008-04-12
  • S65 Uniform Investment Adviser Law Examination
    2012-08-06
  • S63 Uniform Securities Agent State Law Examination
    2008-04-12

View on SEC IAPD

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