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Ellis Valor

First Trust Advisors LP

Wheaton, IL

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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 2022-11-16
  • IL RA
    APPROVED
    Since 2022-11-16

Branch Locations

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
Jp Morgan Securities Llc Chicago IL 07/2015 06/2022
Jp Morgan Chase Bank Chicago IL 09/2014 06/2022
Ellis Vazquez Chicago IL 06/2015 04/2018
First Trust Portfolios L.P. Wheaton IL 08/2022 Present
First Trust Advisors L.P. Wheaton IL 08/2022 Present
  • 07/2015 → 06/2022
    Jp Morgan Securities Llc
    Chicago, IL
  • 09/2014 → 06/2022
    Jp Morgan Chase Bank
    Chicago, IL
  • 06/2015 → 04/2018
    Ellis Vazquez
    Chicago, IL
  • 08/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 08/2022 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-23
S63 Uniform Securities Agent State Law Examination 2016-02-12
  • S66 Uniform Combined State Law Examination
    2022-09-23
  • S63 Uniform Securities Agent State Law Examination
    2016-02-12
Other Names
  • Ellis Vazquez

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · Wheaton, IL

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