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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 2011-10-04
  • IL RA
    APPROVED
    Since 2011-10-04

Branch Locations

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

Bridgeport, CT • 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 Lisle IL 03/2004 Present
  • 03/2004 → Present
    First Trust Portfolios
    Lisle, IL
Previous Registrations
  • 2003-01-08 → 2004-01-05
    Great Companies Llc
    Bridgeport, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-04
S63 Uniform Securities Agent State Law Examination 1995-11-22
  • S65 Uniform Investment Adviser Law Examination
    2003-03-04
  • S63 Uniform Securities Agent State Law Examination
    1995-11-22

View on SEC IAPD

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