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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2016-08-05 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Setauket, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Trust Portfolios L.P. | Wheaton | IL | 07/2016 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 07/2016 | Present |
| Carve & Board Homes, Llc | Stony Brook | NY | 01/2023 | Present |
OTHER BUSINESS NAME: CARVE & BOARD HOMES, LLC. LOCATION: STONY BROOK, NY. NATURE OF BUSINESS: REAL ESTATE. POSITION OR TITLE: OWNER. RESPONSIBILITIES: WILL OWN INVESTMENT PROPERTIES TO BE RENTED OUT. START DATE: JAN, 13 2023. INVESTMENT-RELATED: YES. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-16 |
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