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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 2025-12-18
IL RA APPROVED 2025-05-07
  • TN RA
    APPROVED
    Since 2025-12-18
  • IL RA
    APPROVED
    Since 2025-05-07

Branch Locations

5000 Meridian Blvd Suite 500, Franklin, TN 37067 • United States

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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
Miami Of Ohio Oxford OH 07/2016 12/2021
Ubs Financial Services Inc. Charlotte NC 12/2021 08/2022
Guggenheim Funds Distributors, Llc Chicago IL 09/2022 04/2025
First Trust Portfolios L.P. Wheaton IL 05/2025 Present
First Trust Advisors L.P. Wheaton IL 05/2025 Present
  • 07/2016 → 12/2021
    Miami Of Ohio
    Oxford, OH
  • 12/2021 → 08/2022
    Charlotte, NC
  • 09/2022 → 04/2025
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 05/2025 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 05/2025 → Present
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-13
  • S66 Uniform Combined State Law Examination
    2022-06-13
Other Names
  • Mark Richard Skelton
  • Mark Skelton

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