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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-03-16 |
| TX | RA | APPROVED | 2022-03-16 |
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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade | Omaha | NE | 07/2019 | 07/2020 |
| James Alpha Advisors | Wayzata | MN | 05/2018 | 08/2018 |
| Engage Health Inc. | Eagan | MN | 05/2013 | 07/2019 |
| First Trust Portfolios L.P. | Wheaton | IL | 03/2022 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 03/2022 | Present |
| Engage Health Inc. | Eagan | MN | 08/2020 | 03/2022 |
OTHER BUSINESS NAME: ENGEL FAMILY PROPERTIES, LLC. LOCATION: 3265 LEXINGTON AVENUE SOUTH, EAGN, MN 55121. NATURE OF BUSINESS: RENTAL PROPERTY. POSITION OR TITILE: CO-OWNER. RESPONSIBILITIES: ANNUAL MEETING, TAX DOCUMENTATION. START DATE: 10/08/2016 INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL / DURING MARKET HOURS): 1 TOTAL / NONE DURING MARKET HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-15 |
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