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Michael Varga

First Trust Advisors LP

Wheaton, IL

Dallas, TX

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-07-13
IL RA APPROVED 2020-06-30
  • TX RA
    APPROVED
    Since 2020-07-13
  • IL RA
    APPROVED
    Since 2020-06-30

Branch Locations

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

Dallas, TX • 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
Mxventerprises Chicago IL 03/2015 10/2016
Kovack Securities, Inc. Fort Lauderdale FL 10/2016 04/2018
Kovack Advisors, Inc Fort Lauderdale FL 10/2016 04/2018
Varga Investments Inc. Ft Lauderdale FL 04/2018 12/2019
Cuna Brokerage Services, Inc. Waverly IA 12/2019 Present
Cuna Mutual Group Waverly IA 12/2019 06/2020
First Trust Portfolios L.P. Wheaton IL 06/2020 Present
First Trust Advisors L.P. Wheaton IL 06/2020 Present
  • 03/2015 → 10/2016
    Mxventerprises
    Chicago, IL
  • 10/2016 → 04/2018
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 10/2016 → 04/2018
    Kovack Advisors, Inc
    Fort Lauderdale, FL
  • 04/2018 → 12/2019
    Varga Investments Inc.
    Ft Lauderdale, FL
  • 12/2019 → Present
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 12/2019 → 06/2020
    Cuna Mutual Group
    Waverly, IA
  • 06/2020 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 06/2020 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
  • 2020-01-13 → 2020-06-30
    Cuna Brokerage Services, Inc.
    Margate, FL
  • 2018-05-16 → 2019-12-16
    Varga Investments Inc.
    Boynton Beach, FL
  • 2016-10-28 → 2018-04-16
    Kovack Advisors, Inc.
    Ft. Lauderdale, FL
  • 2014-10-31 → 2015-03-25
    Wells Fargo Clearing Services, Llc
    Niles, IL
    Chicago, IL
    Park Ridge, IL
    Chicago, IL
  • 2012-10-01 → 2014-11-12
    J.P. Morgan Securities Llc
    Lincolnwood, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2010-08-19 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2008-11-04 → 2010-08-05
    New England Securities
    Schaumburg, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-10
  • S66 Uniform Combined State Law Examination
    2008-10-10

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
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