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120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-03-11 |
Branch Locations
120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Trust Portfolios L.P. | Wheaton | IL | 03/2023 | Present |
| First Trust Advisors L.P. | Wheaton | IL | 03/2023 | Present |
| Hb Jones | Elmhurst | IL | 01/2016 | 08/2017 |
| Great American Extervors | Elmhurst | IL | 01/2017 | 08/2017 |
| First Trust Portfolios L.P. | Wheaton | IL | 06/2018 | 08/2018 |
| First Trust Portfolios L.P. | Wheaton | IL | 06/2019 | 08/2019 |
| Ymca | Marco Island | FL | 06/2020 | 08/2020 |
| First Trust Portfolios L.P. | Wheaton | IL | 05/2021 | 07/2021 |
| Delivery First | Elmhurst | IL | 02/2022 | 06/2022 |
| Kbd Edge | Des Plaines | IL | 06/2022 | 07/2022 |
| Kemper Lesnik | Chicago | IL | 07/2022 | 01/2023 |
| York High School | Elmhurst | IL | 01/2013 | 08/2017 |
| University Of Alabama | Tuscaloosa | IL | 08/2017 | 12/2021 |
OTHER BUSINESS NAME: TOM HARTLEY T-SHIRTS. LOCATION: CHICAGO, IL. NATURE OF BUSINESS: T-SHIRT COMPANY. POSITION OR TITLE: INVESTOR. RESPONSIBILITIES: PROVIDE CAPITAL. START DATE: DEC 04, 2025. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 2023-06-03 |
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