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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 2022-09-12
  • IL RA
    APPROVED
    Since 2022-09-12

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 08/2022 Present
Stage 5 Trading Corp. Chicago IL 09/2020 07/2022
Ninja Trader Brokerage Chicago IL 01/2019 08/2020
Self-Employed Winfield IL 08/2018 01/2019
Financial Protection Plus Deerfield IL 12/2016 08/2018
Self-Employed Chicago IL 08/2016 12/2016
First Trust Advisors L.P. Wheaton IL 08/2022 Present
  • 08/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 09/2020 → 07/2022
    Stage 5 Trading Corp.
    Chicago, IL
  • 01/2019 → 08/2020
    Ninja Trader Brokerage
    Chicago, IL
  • 08/2018 → 01/2019
    Self-Employed
    Winfield, IL
  • 12/2016 → 08/2018
    Financial Protection Plus
    Deerfield, IL
  • 08/2016 → 12/2016
    Self-Employed
    Chicago, IL
  • 08/2022 → Present
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-26
  • S66 Uniform Combined State Law Examination
    2022-07-26

View on SEC IAPD

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