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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2022-09-01
IL RA APPROVED 2012-02-23
  • TN RA
    APPROVED
    Since 2022-09-01
  • IL RA
    APPROVED
    Since 2012-02-23

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
First Trust Portfolios L.P. Lisle IL 04/2008 Present
  • 04/2008 → Present
    First Trust Portfolios L.P.
    Lisle, IL
Other Businesses

Other Business Name: Arbonne. Location: 9400 Jeronimo Road, Irvine, CA 92618. Nature of Business: healthcare product line. Position or Title: Independent Consultant. Responsibilities: Independent Consultant for Arbonne products (skincare, nutrition). Investment Related: No. Hours per Month (Total/During Market Hours): 4-8 hours/month;0 hours during market hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-22
S63 Uniform Securities Agent State Law Examination 2007-10-10
  • S66 Uniform Combined State Law Examination
    2012-02-22
  • S63 Uniform Securities Agent State Law Examination
    2007-10-10
Other Names
  • Leah Ashley Dek Mauro
  • Leah Ashley Delmauro

View on SEC IAPD

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