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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-12-03 |
| IL | RA | APPROVED | 2024-11-25 |
Branch Locations
9130 Galleria Court Suite 202, Naples, FL 34109 • United States
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Moors & Cabot Inc | Naples | FL | 02/2016 | 12/2019 |
| Gyroscope Capital Management | Naples | FL | 01/2020 | 08/2023 |
| First Trust Investment Solutions Lp | Naples | FL | 09/2023 | 10/2024 |
| First Trust Portfolios L.P. | Wheaton | IL | 10/2024 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-25 |
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