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Daniel Raymond Kozicki

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 2011-11-21
  • IL RA
    APPROVED
    Since 2011-11-21

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
First Trust Portfolios L.P. Lise IL 02/2000 Present
  • 02/2000 → Present
    First Trust Portfolios L.P.
    Lise, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-25
S63 Uniform Securities Agent State Law Examination 2002-06-17
  • S65 Uniform Investment Adviser Law Examination
    2004-08-25
  • S63 Uniform Securities Agent State Law Examination
    2002-06-17

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
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