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Austin Higgins

First Trust Advisors LP

Wheaton, IL

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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 2024-01-29
  • IL RA
    APPROVED
    Since 2024-01-29

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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. Wheaton IL 08/2023 Present
First Trust Advisors L.P. Wheaton IL 08/2023 Present
Ubs Chicago IL 06/2022 05/2023
Unemployed Chicago IL 05/2023 08/2023
Lululemon Chicago IL 01/2022 07/2022
Care Free Boat Club Chicago IL 07/2021 09/2021
Rooney Landscape Palatine IL 05/2020 08/2020
Inverness Golf Club Palatine IL 08/2018 08/2019
Unemployed Palatine IL 07/2015 08/2018
Unemployed Palatine IL 08/2019 05/2020
Unemployed Palatine IL 08/2020 07/2021
Unemployed Chicago IL 09/2021 01/2022
  • 08/2023 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 08/2023 → Present
    First Trust Advisors L.P.
    Wheaton, IL
  • 06/2022 → 05/2023
    Ubs
    Chicago, IL
  • 05/2023 → 08/2023
    Unemployed
    Chicago, IL
  • 01/2022 → 07/2022
    Lululemon
    Chicago, IL
  • 07/2021 → 09/2021
    Care Free Boat Club
    Chicago, IL
  • 05/2020 → 08/2020
    Rooney Landscape
    Palatine, IL
  • 08/2018 → 08/2019
    Inverness Golf Club
    Palatine, IL
  • 07/2015 → 08/2018
    Unemployed
    Palatine, IL
  • 08/2019 → 05/2020
    Unemployed
    Palatine, IL
  • 08/2020 → 07/2021
    Unemployed
    Palatine, IL
  • 09/2021 → 01/2022
    Unemployed
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-01-26
S63 Uniform Securities Agent State Law Examination 2023-09-28
  • S65 Uniform Investment Adviser Law Examination
    2024-01-26
  • S63 Uniform Securities Agent State Law Examination
    2023-09-28

View on SEC IAPD

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JASON MICHAEL CRUMP
DAVID KEVIN SEITZER
NORMAN CHARLES GARNER
RANDY LEON FLOYD
Julie Marie Cunningham
Nicole Lea Ayers

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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