Brian Joseph Pawlowicz

Current Employers

First Trust Advisors Lp

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-01-07
IL	RA	APPROVED	2023-07-27

FL RA
APPROVED

Since 2025-01-07
IL RA
APPROVED

Since 2023-07-27

Branch Locations

Naples, FL • United States

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

Organization	City	State	From	To
Orinda Asset Mgmt	Orinda	CA	06/2010	Present
Foreside Fund Services, Llc	Chicago	IL	01/2016	03/2022
First Trust Portfolios L.P.	Wheaton	IL	03/2022	Present
First Trust Advisors L.P.	Wheaton	IL	03/2022	Present

06/2010 → Present

Orinda Asset Mgmt

Orinda, CA
01/2016 → 03/2022

Foreside Fund Services, Llc

Chicago, IL
03/2022 → Present

First Trust Portfolios L.P.

Wheaton, IL
03/2022 → Present

First Trust Advisors L.P.

Wheaton, IL

Other Businesses

OTHER BUSINESS NAME: SMOKE DADDY. LOCATION: 3636 N. CLARK ST. CHICAGO, IL. 60613. NATURE OF BUSINESS: BBQ RESTAURANT. POSITION OR TITLE: PASSIVE INVESTOR. RESPONSIBILITIES: N/A PASSIVE INVESTMENT. START DATE: 3/28/22 (FT DATE OF HIRE). INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL / DURING MARKET HOURS): 0 TOTAL / 0 DURING MARKET HOURS. OTHER BUSINESS NAME: RENTAL PROPERTY. LOCATION: 1933 N. DAYTON ST. #2F CHICAGO, IL 60614. NATURE OF BUSINESS: RENTAL PROPERTY. POSITION OR TITLE: PASSIVE INVESTOR. RESPONSIBILITIES: N/A PASSIVE INVESTOR. START DATE: 03/28/2022 (FT DATE OF HIRE). INVESTMENT-RELATED (TOTAL/DURING MARKET HOURS): 0 TOTAL / 0 DURING MARKET HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-01-04

S66 Uniform Combined State Law Examination

1999-01-04

Designations

View on SEC IAPD