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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2026-06-22 |
| IL | RA | APPROVED | 2018-05-29 |
| TX | RA | APPROVED | 2018-05-29 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
5000 Meridian Blvd Suite 500, Franklin, TN 37067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 08/2016 | 03/2018 |
| Unknown Brewing | Charlotte | NC | 05/2017 | 10/2017 |
| First Trust Portfolios L.P. | Wheaton | IL | 03/2018 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 03/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-14 |
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