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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 2021-05-19
  • IL RA
    APPROVED
    Since 2021-05-19

Branch Locations

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

San Francisco, CA • 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
Deutsche Am Distributors, Inc Chicago IL 05/2016 11/2019
Profunds Distributors, Inc. Bethesda MD 12/2019 03/2021
Vision 4 Fund Distributors, Llc Scottsdale AZ 04/2021 04/2021
First Trust Portfolios L.P. Wheaton IL 05/2021 Present
First Trust Advisors L.P. Wheaton IL 05/2021 Present
  • 05/2016 → 11/2019
    Deutsche Am Distributors, Inc
    Chicago, IL
  • 12/2019 → 03/2021
    Profunds Distributors, Inc.
    Bethesda, MD
  • 04/2021 → 04/2021
    Vision 4 Fund Distributors, Llc
    Scottsdale, AZ
  • 05/2021 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 05/2021 → Present
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-07-03
S63 Uniform Securities Agent State Law Examination 2011-03-02
  • S65 Uniform Investment Adviser Law Examination
    2021-07-03
  • S63 Uniform Securities Agent State Law Examination
    2011-03-02
Other Names
  • Nate Martin

View on SEC IAPD

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