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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 2022-07-13
  • IL RA
    APPROVED
    Since 2022-07-13

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
1871 Dairy Chicago IL 02/2012 10/2020
Veterans Distribution Hillside IL 02/2019 06/2022
First Trust Portfolios Wheaton IL 06/2022 Present
First Trust Advisors L.P. Wheaton IL 06/2022 Present
  • 02/2012 → 10/2020
    1871 Dairy
    Chicago, IL
  • 02/2019 → 06/2022
    Veterans Distribution
    Hillside, IL
  • 06/2022 → Present
    First Trust Portfolios
    Wheaton, IL
  • 06/2022 → Present
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-05
  • S66 Uniform Combined State Law Examination
    2022-04-05

View on SEC IAPD

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