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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 2025-12-05
TN RA APPROVED 2025-12-05
  • IL RA
    APPROVED
    Since 2025-12-05
  • TN RA
    APPROVED
    Since 2025-12-05

Branch Locations

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

5000 Meridian Blvd Suite 500, Franklin, TN 37067 • 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
Department Of Defense Virginia Beach VA 01/2014 11/2025
First Trust Portfolios L.P. Wheaton IL 11/2025 Present
First Trust Advisors L.P. Wheaton IL 11/2025 Present
  • 01/2014 → 11/2025
    Department Of Defense
    Virginia Beach, VA
  • 11/2025 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 11/2025 → Present
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-12
  • S66 Uniform Combined State Law Examination
    2025-09-12

View on SEC IAPD

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