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Samuel Walter Frasco

First Trust Advisors LP

Wheaton, IL

Newport Beach, CA

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-03-29
  • IL RA
    APPROVED
    Since 2019-03-29

Branch Locations

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

Newport Beach, CA • 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
Schneider Electric Nashville TN 06/2016 03/2017
Schneider Electric Nashville TN 03/2017 06/2017
N/A Mt. Prospect IL 06/2017 12/2017
Stryker Spine Itasca IL 01/2018 06/2018
Invesco Distributors, Inc. Downers Grove IL 06/2018 11/2018
First Trust Portfolios L.P. Wheaton IL 01/2019 Present
First Trust Advisors L.P. Wheaton IL 01/2019 Present
  • 06/2016 → 03/2017
    Schneider Electric
    Nashville, TN
  • 03/2017 → 06/2017
    Schneider Electric
    Nashville, TN
  • 06/2017 → 12/2017
    N/A
    Mt. Prospect, IL
  • 01/2018 → 06/2018
    Stryker Spine
    Itasca, IL
  • 06/2018 → 11/2018
    Invesco Distributors, Inc.
    Downers Grove, IL
  • 01/2019 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 01/2019 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-29
S63 Uniform Securities Agent State Law Examination 2018-11-24
  • S66 Uniform Combined State Law Examination
    2019-03-29
  • S63 Uniform Securities Agent State Law Examination
    2018-11-24
Other Names
  • Samuel Frasco

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · Wheaton, IL

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