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Jeffrey A Baker

First Trust Advisors LP

Wheaton, IL

Dallas, TX

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-22
IL RA APPROVED 2018-12-03
  • TX RA
    APPROVED
    Since 2025-12-22
  • IL RA
    APPROVED
    Since 2018-12-03

Branch Locations

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

Dallas, TX • 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. Lisle IL 01/2011 06/2017
Brookmont Capital Management Dalls TX 08/2017 11/2018
First Trust Portfolios L.P. Wheaton IL 11/2018 Present
First Trust Advisors L.P. Wheaton IL 11/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-17
S63 Uniform Securities Agent State Law Examination 2006-05-05
  • S66 Uniform Combined State Law Examination
    2012-07-17
  • S63 Uniform Securities Agent State Law Examination
    2006-05-05
Other Names
  • Jeffrey Alan Baker
  • Jeff Baker

View on SEC IAPD

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