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Ethan Richter

First Trust Advisors LP

Wheaton, IL

Franklin, TN

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-04-25
IL RA APPROVED 2015-11-09
  • TN RA
    APPROVED
    Since 2024-04-25
  • IL RA
    APPROVED
    Since 2015-11-09

Branch Locations

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

5000 Meridian Blvd Suite 500, Franklin, TN 37067 • 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. Wheaton IL 08/2012 Present
First Trust Advisors L.P. Wheaton IL 04/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-09
S63 Uniform Securities Agent State Law Examination 2014-01-24
  • S66 Uniform Combined State Law Examination
    2015-03-09
  • S63 Uniform Securities Agent State Law Examination
    2014-01-24

View on SEC IAPD

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