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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 2023-05-04
TX RA APPROVED 2023-05-04
  • IL RA
    APPROVED
    Since 2023-05-04
  • TX RA
    APPROVED
    Since 2023-05-04

Branch Locations

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

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • 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 04/2023 Present
First Trust Advisors L.P. Wheaton IL 04/2023 Present
Due Process Golf Colts Neck NJ 05/2012 04/2023
Axa Equitable Secaucus NJ 12/2018 03/2019
  • 04/2023 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 04/2023 → Present
    Wheaton, IL
  • 05/2012 → 04/2023
    Due Process Golf
    Colts Neck, NJ
  • 12/2018 → 03/2019
    Axa Equitable
    Secaucus, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-28
  • S66 Uniform Combined State Law Examination
    2023-02-28

View on SEC IAPD

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