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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-07-11 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Seattle, WA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Institutional Investments Inc. | Chicago | IL | 01/2016 | 03/2020 |
| Jpmorgan Investment Management Inc. | Chicago | IL | 12/2015 | 03/2020 |
| Vivaldi Asset Management, Llc | Chicago | IL | 03/2020 | 10/2021 |
| Foreside Fund Services, Llc | Chicago | IL | 05/2020 | 10/2021 |
| First Trust Portfolios L.P. | Wheaton | IL | 11/2021 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 11/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-07-11 |
| S66 | Uniform Combined State Law Examination | 2015-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-21 |
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