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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 2018-07-10
  • IL RA
    APPROVED
    Since 2018-07-10

Branch Locations

Omaha, NE • United States

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
Invesco Distributors, Inc Houston TX 07/2012 07/2018
Invesco Advisers, Inc. Atlanta GA 06/2015 07/2018
First Trust Portfolios L.P. Wheaton IL 07/2018 Present
First Trust Advisors L.P. Wheaton IL 07/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-09
S63 Uniform Securities Agent State Law Examination 2012-12-20
  • S65 Uniform Investment Adviser Law Examination
    2015-06-09
  • S63 Uniform Securities Agent State Law Examination
    2012-12-20

View on SEC IAPD

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