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Brendon M Mccarthy

First Trust Advisors LP

Wheaton, IL

Franklin, TN

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2022-11-16
IL RA APPROVED 2021-06-22
  • TN RA
    APPROVED
    Since 2022-11-16
  • IL RA
    APPROVED
    Since 2021-06-22

Branch Locations

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

5000 Meridan Blvd Suite 500, Franklin, TN 37067 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville FL 01/2020 03/2021
Florida State University Tallahassee FL 08/2015 12/2019
Sprint Naples FL 07/2016 07/2017
First Trust Portfolios L.P. Wheaton IL 03/2021 Present
First Trust Advisors L.P. Wheaton IL 03/2021 Present
  • 01/2020 → 03/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Jacksonville, FL
  • 08/2015 → 12/2019
    Florida State University
    Tallahassee, FL
  • 07/2016 → 07/2017
    Sprint
    Naples, FL
  • 03/2021 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 03/2021 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-06-21
S63 Uniform Securities Agent State Law Examination 2021-05-21
  • S65 Uniform Investment Adviser Law Examination
    2021-06-21
  • S63 Uniform Securities Agent State Law Examination
    2021-05-21
Other Names
  • Brendon M Mccarthy
  • Brendon Mccarthy

View on SEC IAPD

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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
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