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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-05-19 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
San Francisco, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2011-03-02 |
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