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Ross Aaron Neuman

First Trust Advisors LP

Wheaton, IL

Plymouth, MN

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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 2018-09-17
  • IL RA
    APPROVED
    Since 2018-09-17

Branch Locations

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

Plymouth, MN • 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
Strategic Wealth Partners Deerfield IL 01/2016 09/2018
First Trust Portfolios L.P. Wheaton IL 09/2018 Present
First Trust Advisors L.P. Wheaton IL 09/2018 Present
  • 01/2016 → 09/2018
    Strategic Wealth Partners
    Deerfield, IL
  • 09/2018 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 09/2018 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
  • 2016-05-17 → 2018-09-14
    Strategic Wealth Partners
    Deerfield, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-10-30
S65 Uniform Investment Adviser Law Examination 2016-05-17
  • S63 Uniform Securities Agent State Law Examination
    2018-10-30
  • S65 Uniform Investment Adviser Law Examination
    2016-05-17

View on SEC IAPD

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Other Offices

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