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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-07-03 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Bryn Mawr, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hartford Funds Distributors, Llc | Radnor | PA | 09/2015 | 11/2017 |
| Clark Capital Management Group, Inc. | Philadelphia | PA | 11/2017 | 11/2021 |
| Hartford Funds Distributors, Llc | Wayne | PA | 06/2023 | 03/2025 |
| Fp Alpha, Inc. | New York | NY | 11/2021 | 05/2023 |
| First Trust Portfolios L.P. | Wheaton | IL | 03/2025 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 03/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-13 |
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