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Andrew Edmund Stockton

First Trust Advisors LP

Wheaton, IL

Charlotte, NC

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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 2024-05-07
IL RA APPROVED 2019-02-01
  • TX RA
    APPROVED
    Since 2024-05-07
  • IL RA
    APPROVED
    Since 2019-02-01

Branch Locations

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

Charlotte, NC • 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
Fidelity Investments Institutional Services Company, Inc. Westlake TX 07/2014 01/2018
Ascendant Alternative Strategies New York NY 02/2018 01/2019
First Trust Portfolios L.P. Wheaton IL 01/2019 Present
First Trust Advisors L.P. Wheaton IL 01/2019 Present
  • 07/2014 → 01/2018
    Fidelity Investments Institutional Services Company, Inc.
    Westlake, TX
  • 02/2018 → 01/2019
    Ascendant Alternative Strategies
    New York, NY
  • 01/2019 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 01/2019 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-01
S63 Uniform Securities Agent State Law Examination 2014-10-24
  • S65 Uniform Investment Adviser Law Examination
    2019-02-01
  • S63 Uniform Securities Agent State Law Examination
    2014-10-24

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · Wheaton, IL

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