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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 2022-09-30
TX RA APPROVED 2022-09-30
  • IL RA
    APPROVED
    Since 2022-09-30
  • TX RA
    APPROVED
    Since 2022-09-30

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
Dynamic Moncton 11/2015 07/2018
Mackenzie Montreal 07/2018 09/2022
First Trust Portfolios L.P. Wheaton IL 09/2022 Present
First Trust Advisors L.P. Wheaton IL 09/2022 Present
  • 11/2015 → 07/2018
    Dynamic
    Moncton
  • 07/2018 → 09/2022
    Mackenzie
    Montreal
  • 09/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 09/2022 → Present
    Wheaton, IL
Other Businesses

OTHER BUSINESS NAME: WRESTLING COACH. LOCATION: AUSTIN, TX. NATURE OF BUSINESS: COACHING. POSITION OR TITLE: WRESTLING COACH. RESPONSIBILITIES: COACH AND TEACH KIDS HOW TO WRESTLE. START DATE: SEP 29, 2023. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-18
  • S66 Uniform Combined State Law Examination
    2022-03-18

View on SEC IAPD

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