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Kristin S.W. Kano

First Trust Advisors LP

Wheaton, IL

CRD 4945049

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Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2012-07-24
  • IL RA
    APPROVED
    Since 2012-07-24

Branch Locations

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
First Trust Portfolios. L.P. Lilse IL 04/2005 Present
  • 04/2005 → Present
    First Trust Portfolios. L.P.
    Lilse, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-23
S63 Uniform Securities Agent State Law Examination 2005-07-29
  • S66 Uniform Combined State Law Examination
    2012-07-23
  • S63 Uniform Securities Agent State Law Examination
    2005-07-29
Other Names
  • Kristin Scott Wangerin
  • Kristin Kano

View on SEC IAPD

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