Michael Naples

Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

First Trust Advisors Lp

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2014-08-07

IL RA
APPROVED

Since 2014-08-07

Branch Locations

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

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Trust Portfolios L.P.	Wheaton	IL	11/2012	Present

11/2012 → Present

First Trust Portfolios L.P.

Wheaton, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-08-04
S63	Uniform Securities Agent State Law Examination	2013-05-30

S66 Uniform Combined State Law Examination

2014-08-04
S63 Uniform Securities Agent State Law Examination

2013-05-30

View on SEC IAPD

Employer firm

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Exams

Nearby Firms

Nearby Investors

Nearby Offices

Reviews