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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 2022-09-01
IL RA APPROVED 2018-07-26
  • TN RA
    APPROVED
    Since 2022-09-01
  • IL RA
    APPROVED
    Since 2018-07-26

Branch Locations

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

Knoxville, TN • 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
Guggenheim Partners Chicago IL 06/2017 08/2017
Wheel Pizza Bloomington IN 01/2018 05/2018
Indiana University Bloomington IN 08/2014 05/2018
First Trust Portfolios L.P. Wheaton IL 06/2018 Present
First Trust Advisors L.P. Wheaton IL 06/2018 Present
  • 06/2017 → 08/2017
    Guggenheim Partners
    Chicago, IL
  • 01/2018 → 05/2018
    Wheel Pizza
    Bloomington, IN
  • 08/2014 → 05/2018
    Indiana University
    Bloomington, IN
  • 06/2018 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 06/2018 → Present
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-26
  • S66 Uniform Combined State Law Examination
    2018-07-26

View on SEC IAPD

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