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Harley Raymond Sacks

First Trust Advisors LP

Wheaton, IL

Milton, NY

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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 2020-01-07
  • IL RA
    APPROVED
    Since 2020-01-07

Branch Locations

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

Milton, NY • 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
Morgan Stanley Florham Park NJ 09/2019 12/2019
University Of Miami Coral Gables FL 08/2015 05/2019
Home Oldwick NJ 06/2019 09/2019
Morgan Stanley Private Bank, N.A New York NY 09/2019 12/2019
First Trust Portfolios L.P. Wheaton IL 01/2020 Present
First Trust Advisors L.P. Wheaton IL 01/2020 Present
  • 09/2019 → 12/2019
    Morgan Stanley
    Florham Park, NJ
  • 08/2015 → 05/2019
    University Of Miami
    Coral Gables, FL
  • 06/2019 → 09/2019
    Home
    Oldwick, NJ
  • 09/2019 → 12/2019
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 01/2020 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 01/2020 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-27
  • S66 Uniform Combined State Law Examination
    2019-11-27

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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