Best Investors
Account
Sign in
First Trust Advisors LP CRD 107027
$309B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2025-03-13 |
| IL | RA | APPROVED | 2025-03-05 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Virtus Investment Partners | Hartford | CT | 03/2015 | 09/2016 |
| Amg Funds | Greenwich | CT | 09/2016 | 05/2019 |
| Axs Investments Llc | Port Chester | NY | 10/2019 | 02/2021 |
| Imst Distributors, Llc | Port Chester | NY | 11/2019 | 02/2021 |
| Tullett Prebon | South Norwalk | CT | 05/2019 | 10/2019 |
| Cais Capital Llc | New York | NY | 02/2021 | 06/2024 |
| Capital Integration Systems Llc | New York | NY | 02/2021 | 06/2024 |
| First Trust Portfolios L.P. | Wheaton | IL | 07/2024 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-03-03 |
| S66 | Uniform Combined State Law Examination | 2014-04-22 |
Reach out to this advisor