Christopher Cummins

First Trust Advisors LP

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Current Employers

First Trust Advisors Lp

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2023-01-10

IL RA
APPROVED

Since 2023-01-10

Branch Locations

Raleigh, NC • 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

Organization	City	State	From	To
First Trust Portfolios L.P.	Wheaton	IL	10/2022	Present
First Trus Advisors L.P.	Wheaton	IL	10/2022	Present
Unemployed	Bativia	IL	10/2021	10/2022
Bloomingdales	Chicago	IL	03/2015	10/2021

10/2022 → Present

First Trust Portfolios L.P.

Wheaton, IL
10/2022 → Present

First Trus Advisors L.P.

Wheaton, IL
10/2021 → 10/2022

Unemployed

Bativia, IL
03/2015 → 10/2021

Bloomingdales

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-03-11

S66 Uniform Combined State Law Examination

2022-03-11

View on SEC IAPD

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