Nathan Carlson

Current Employers

First Trust Advisors Lp

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2010-07-12

IL RA
APPROVED

Since 2010-07-12

Branch Locations

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

Cincinnati, OH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Trust Portfolios L.P.	Wheaton	IL	07/2010	Present

07/2010 → Present

First Trust Portfolios L.P.

Wheaton, IL

Previous Registrations

2009-10-19 → 2010-07-27

Advisors Asset Management, Inc.

Loveland, OH

Cincinnati, OH

Lisle, IL

Lisle, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-10-16
S63	Uniform Securities Agent State Law Examination	2005-03-03

S65 Uniform Investment Adviser Law Examination

2009-10-16
S63 Uniform Securities Agent State Law Examination

2005-03-03

Other Names

Nathan A Carlson

View on SEC IAPD

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews