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Steven Samuel Scholes

First Trust Advisors LP

Wheaton, IL

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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 2024-04-01
  • IL RA
    APPROVED
    Since 2024-04-01

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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
First Trust Portfolios L.P. Wheaton IL 08/2016 06/2019
First Trust Advisors L.P. Wheaton IL 08/2016 06/2019
Servant Group International Duhok 07/2019 06/2022
First Trust Portfolios L.P. Wheaton IL 06/2022 Present
First Trust Advisors L.P. Wheaton IL 06/2022 Present
  • 08/2016 → 06/2019
    First Trust Portfolios L.P.
    Wheaton, IL
  • 08/2016 → 06/2019
    First Trust Advisors L.P.
    Wheaton, IL
  • 07/2019 → 06/2022
    Servant Group International
    Duhok
  • 06/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 06/2022 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-04
S65 Uniform Investment Adviser Law Examination 2016-09-23
S63 Uniform Securities Agent State Law Examination 2013-12-18
  • S66 Uniform Combined State Law Examination
    2022-04-04
  • S65 Uniform Investment Adviser Law Examination
    2016-09-23
  • S63 Uniform Securities Agent State Law Examination
    2013-12-18
Other Names
  • Sam Scholes
  • Samuel Scholes
  • Sam Samuel Scholes

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
BROOKSTONE CAPITAL MANAGEMENT LLC · Wheaton, IL

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