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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 2009-03-19
  • IL RA
    APPROVED
    Since 2009-03-19

Branch Locations

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

Newtown, PA • 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 04/2006 Present
  • 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-18
S63 Uniform Securities Agent State Law Examination 2002-06-17
  • S65 Uniform Investment Adviser Law Examination
    2005-05-18
  • S63 Uniform Securities Agent State Law Examination
    2002-06-17

View on SEC IAPD

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