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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 2026-04-14
TN RA APPROVED 2026-04-14
  • IL RA
    APPROVED
    Since 2026-04-14
  • TN RA
    APPROVED
    Since 2026-04-14

Branch Locations

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

5000 Meridian Blvd Suite 500, Franklin, TN 37067 • 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
Jackson National Life Distributors Llc Franklin TN 04/2016 01/2021
Dpl Financial Partners Louisville KY 01/2021 05/2021
The Leaders Group, Inc. Littleton CO 01/2021 05/2021
Alliancebernstein Investments, Inc Nashville TN 06/2021 03/2026
First Trust Portfolios L.P. Wheaton IL 03/2026 Present
First Trust Advisors L.P. Wheaton IL 03/2026 Present
  • 04/2016 → 01/2021
    Jackson National Life Distributors Llc
    Franklin, TN
  • 01/2021 → 05/2021
    Dpl Financial Partners
    Louisville, KY
  • 01/2021 → 05/2021
    The Leaders Group, Inc.
    Littleton, CO
  • 06/2021 → 03/2026
    Alliancebernstein Investments, Inc
    Nashville, TN
  • 03/2026 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 03/2026 → Present
    Wheaton, IL
Previous Registrations
  • 2010-08-19 → 2016-02-17
    Sii Investments, Inc.
    Appleton, WI
    Morton, IL
  • 2010-08-19 → 2013-05-09
    Investment Centers Of America, Inc.
    Appleton, WI
  • 2009-06-03 → 2010-03-17
    Depere, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-04-13
S66 Uniform Combined State Law Examination 2009-06-02
  • S65 Uniform Investment Adviser Law Examination
    2026-04-13
  • S66 Uniform Combined State Law Examination
    2009-06-02

View on SEC IAPD

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