Alexander P Brozyna

Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2006 → Present
  First Trust Portfolios L.P.
  Wheaton, IL

Previous Registrations

• 2005-07-06 → 2006-04-11
  Chase Investment Services Corp.
  Chicago, IL
  Evanston, IL
• 2005-05-19 → 2005-07-06
  Banc One Securities Corporation
  Evanston, IL

Other Businesses

OTHER BUSINESS NAME:UNITED UKRANIAN AMERICAN RELIEF COMMITTEE, INC. LOCATION: 1206 COTTMAN AVENUE, PHILADELPHIA, PA 19111. NATURE OF BUSINESS: NON-PROFIT ORGANIZATION PROVIDING HUMANITARIAN AID WHERE THE NEED IS THE GREATEST. POSITION OR TITLE: MEMBER OF AUDIT & INVESTMENT COMMITTEE. RESPONSIBILITIES: REVIEW FOUNDATIONS ENDOWMENT & ASSIST WITH INVESTMENT REVIEWS. THIS IS A VOLUNTEER POSITION WITH NO COMPENSATION. INVESTMENT-RELATED: YES. HOURS PER MONTH:2 HOURS PER MONTH/NONE DURING MARKET HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-05-18
• S63 Uniform Securities Agent State Law Examination
  2002-06-17