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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2025-12-18 |
| IL | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-13 |
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