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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2018-12-10 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
New Orleans, LA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Goldman, Sachs & Co. | Chicago | IL | 12/2013 | 10/2016 |
| Unemployed | Chicago | IL | 10/2016 | 12/2016 |
| Scottrade | Schaumburg | IL | 01/2017 | 02/2018 |
| Td Ameritrade, Inc. | Omaha | NE | 02/2018 | 03/2018 |
| Ushealth Advisors | Schaumburg | IL | 03/2018 | 11/2018 |
| First Trust Portfolios L.P. | Wheaton | IL | 12/2018 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 12/2018 | Present |
OTHER BUSINESS NAME: CPC CAROL STREAM LLC. LOCATION: CAROL STREAM, IL. NATURE OF BUSINESS: REAL ESTATE. POSITION OR TITLE: MEMBER. RESPONSIBILITIES: CAPITAL ALLOCATION. START DATE: MAR 12, 2025. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-20 |
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