Cara Lyn Frigo

Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → Present
  First Trust Portfolios Lp
  Wheaton, IL
• 03/2015 → Present
  First Trust Advisors L.P.
  Wheaton, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-07-18
• S63 Uniform Securities Agent State Law Examination
  2015-07-02

Other Names

• Cara Thomas