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Nicholas Kates Pelletier

First Trust Advisors LP

Jersey City, NJ

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 2022-09-15
  • IL RA
    APPROVED
    Since 2022-09-15

Branch Locations

Jersey City, NJ • United States

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
Virtus Investment Partners Hartford CT 06/2013 10/2019
Axs Investments Port Chester NY 10/2019 03/2021
Axs Investments South Glastonbury CT 03/2021 08/2022
Imst Distributors, Llc Port Chester NY 10/2019 03/2021
Imst Distributors, Llc South Glastonbury CT 03/2021 08/2022
First Trust Portfolios L.P. Wheaton IL 08/2022 Present
First Trust Advisors L.P. Wheaton IL 08/2022 Present
  • 06/2013 → 10/2019
    Virtus Investment Partners
    Hartford, CT
  • 10/2019 → 03/2021
    Axs Investments
    Port Chester, NY
  • 03/2021 → 08/2022
    Axs Investments
    South Glastonbury, CT
  • 10/2019 → 03/2021
    Imst Distributors, Llc
    Port Chester, NY
  • 03/2021 → 08/2022
    Imst Distributors, Llc
    South Glastonbury, CT
  • 08/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 08/2022 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-11
  • S66 Uniform Combined State Law Examination
    2014-06-11
Designations
Other Names
  • Nicholas Pelletier
  • Nicholas Kates Pelletier

View on SEC IAPD

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