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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 2014-08-11
  • IL RA
    APPROVED
    Since 2014-08-11

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Phoenix, AZ • 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 Wheaton IL 05/2014 Present
  • 05/2014 → Present
    First Trust Portfolios
    Wheaton, IL
Other Businesses

OTHER BUSINESS NAME: BOYS & GIRLS CLUBS OF THE VALLEY INC. LOCATION: PHOENIX, AZ. NATURE OF BUSINESS: BOYS AND GIRLS CLUB. POSITION OR TITLE: DIRECTOR & BOARD LIASON. RESPONSIBILITITES: SERVE ON BOARD TO RAISE MONEY. START DATE: JAN 01, 2025. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-08
  • S66 Uniform Combined State Law Examination
    2014-08-08

View on SEC IAPD

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