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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 2020-12-15
IL RA APPROVED 2020-12-04
  • TX RA
    APPROVED
    Since 2020-12-15
  • IL RA
    APPROVED
    Since 2020-12-04

Branch Locations

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • United States

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
Neuberger Berman, Llc Chicago IL 07/2007 Present
First Trust Portfolios L.P. Wheaton IL 11/2020 Present
First Trust Advisors L.P. Wheaton IL 11/2020 Present
  • 07/2007 → Present
    Neuberger Berman, Llc
    Chicago, IL
  • 11/2020 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 11/2020 → Present
    Wheaton, IL
Previous Registrations
Other Businesses

OTHER BUSINESS NAME: NOBLE HOLDINGS, LLC. LOCATION: N/A. NATURE OF BUSINESS: REAL ESTATE. POSITION OR TITLE: MEMBER. RESPONSIBILITIES: ACQUISITION AND OWNING REAL ESTATE. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): MINIMAL/MINIMAL. OTHER BUSINESS NAME: NOBLE HOLDINGS LLC. LOCATION: CHICAGO, IL. NATURE OF BUSINESS: PROPERTY HOLDINGS. POSITION OR TITLE: MEMBER. RESPONSIBILITIES: HELP SOURCE, EVALUATE AND COORDINATE INVESTMENTS AS A MEMBER. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-19
  • S66 Uniform Combined State Law Examination
    2007-09-19
Other Names
  • Owen Nathan Arouson
  • Owen Nathan Aronson

View on SEC IAPD

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