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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 2022-06-13
TX RA APPROVED 2022-06-13
  • IL RA
    APPROVED
    Since 2022-06-13
  • TX RA
    APPROVED
    Since 2022-06-13

Branch Locations

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

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • 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
Prosperity Bank Lubbock TX 02/2016 12/2016
Cetera Investment Services Llc Lubbock TX 05/2016 12/2016
Raymond James Financial Services, Inc. Austin TX 12/2016 02/2019
Raymond James Financial Services Advisors Inc. Austin TX 06/2017 02/2019
Prosperity Bank Austin TX 02/2016 02/2019
First Trust Portfolios L.P. Wheaton IL 03/2019 03/2021
First Trust Advisors L.P. Wheaton IL 03/2019 03/2021
Cetera Investment Services Llc St Cloud MN 03/2021 06/2022
Cetera Investment Advisers Llc New Braunfels TX 03/2021 06/2022
First Trust Portfolios L.P. Wheaton IL 06/2022 Present
First Trust Advisors L.P. Wheaton IL 06/2022 Present
  • 02/2016 → 12/2016
    Prosperity Bank
    Lubbock, TX
  • 05/2016 → 12/2016
    Cetera Investment Services Llc
    Lubbock, TX
  • 12/2016 → 02/2019
    Raymond James Financial Services, Inc.
    Austin, TX
  • 06/2017 → 02/2019
    Austin, TX
  • 02/2016 → 02/2019
    Prosperity Bank
    Austin, TX
  • 03/2019 → 03/2021
    First Trust Portfolios L.P.
    Wheaton, IL
  • 03/2019 → 03/2021
    Wheaton, IL
  • 03/2021 → 06/2022
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2021 → 06/2022
    New Braunfels, TX
  • 06/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 06/2022 → Present
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-06-07
S63 Uniform Securities Agent State Law Examination 2016-11-08
  • S65 Uniform Investment Adviser Law Examination
    2017-06-07
  • S63 Uniform Securities Agent State Law Examination
    2016-11-08

View on SEC IAPD

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