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Mark William Friend

First Trust Advisors LP

Wheaton, IL

Castle Pines, CO

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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_RES 2024-12-16
IL RA APPROVED 2017-02-10
  • TX RA
    APPROVED_RES
    Since 2024-12-16
  • IL RA
    APPROVED
    Since 2017-02-10

Branch Locations

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

Castle Pines, CO • 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
Winc Los Angeles CA 05/2016 12/2016
First Trust Portfolios L.P. Wheaton IL 12/2016 Present
First Trust Advisors L.P. Wheaton IL 12/2016 Present
  • 05/2016 → 12/2016
    Winc
    Los Angeles, CA
  • 12/2016 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 12/2016 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-10
  • S66 Uniform Combined State Law Examination
    2017-02-10

View on SEC IAPD

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