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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 2019-05-03
TX RA APPROVED 2019-05-03
  • IL RA
    APPROVED
    Since 2019-05-03
  • TX RA
    APPROVED
    Since 2019-05-03

Branch Locations

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • 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
West Chester University West Chester PA 08/2015 12/2018
First Trust Portfolios L.P. Wheaton IL 01/2019 Present
First Trust Advisors L.P. Wheaton IL 01/2019 Present
  • 08/2015 → 12/2018
    West Chester University
    West Chester, PA
  • 01/2019 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 01/2019 → Present
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-03
  • S66 Uniform Combined State Law Examination
    2019-05-03

View on SEC IAPD

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