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Joseph Albert Saracco

First Trust Advisors LP

Wheaton, IL

Austin, 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
IL RA APPROVED 2019-12-17
TX RA APPROVED 2019-12-17
  • IL RA
    APPROVED
    Since 2019-12-17
  • TX RA
    APPROVED
    Since 2019-12-17

Branch Locations

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

Austin, 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
Fis Global Burlington MA 05/2014 11/2019
First Trust Portfolios L.P. Wheaton IL 12/2019 Present
First Trust Advisors L.P. Wheaton IL 12/2019 Present
  • 05/2014 → 11/2019
    Fis Global
    Burlington, MA
  • 12/2019 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 12/2019 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
  • 2012-10-30 → 2014-05-29
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-09
S65 Uniform Investment Adviser Law Examination 2012-10-08
S63 Uniform Securities Agent State Law Examination 2010-03-05
  • S66 Uniform Combined State Law Examination
    2019-01-09
  • S65 Uniform Investment Adviser Law Examination
    2012-10-08
  • S63 Uniform Securities Agent State Law Examination
    2010-03-05
Other Names
  • Joseph A Saracco
  • Joe A Saracco
  • Joe Albert Saracco
  • Joe Saracco
  • Joseph Saracco
  • Joseph Saracco

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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