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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 2017-06-20
  • IL RA
    APPROVED
    Since 2017-06-20

Branch Locations

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

Lancaster, PA • 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
New York Life New York NY 08/2015 06/2017
First Trust Portfolios L.P. Wheaton IL 06/2017 Present
First Trust Advisors L.P. Wheaton IL 06/2017 Present
  • 08/2015 → 06/2017
    New York Life
    New York, NY
  • 06/2017 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 06/2017 → Present
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-25
  • S66 Uniform Combined State Law Examination
    2017-05-25

View on SEC IAPD

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