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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 2011-03-16
  • IL RA
    APPROVED
    Since 2011-03-16

Branch Locations

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
OrganizationCityStateFromTo
First Trust Portfolios Wheaton IL 06/2008 Present
  • 06/2008 → Present
    First Trust Portfolios
    Wheaton, IL
Previous Registrations
  • 2010-02-09 → 2011-03-15
    Bondwave Llc
    Wheaton, IL
Other Businesses

OTHER BUSINESS NAME: BOY SCOUTS OF AMERICA. LOCATION: WHEATON, IL. NATURE OF BUSINESS: BOY SCOUTS. POSITION OR TITLE: TREASURER. RESPONSIBILTITES: HANDELING THE TROOP 303 CHECKING ACCOUNT AT CHASE. START DATE: NOV 27, 2024. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-07
S63 Uniform Securities Agent State Law Examination 1994-01-14
  • S66 Uniform Combined State Law Examination
    2008-11-07
  • S63 Uniform Securities Agent State Law Examination
    1994-01-14
Designations

View on SEC IAPD

Other Firms

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