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Investment Adviser Firm Summary

FIRST TRUST ADVISORS LP (CRD# 107027 / SEC# 801-39950)
Alternate Names: FIRST TRUST ADVISORS LP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/04/1991

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/05/2006
Alaska 10/26/2001
Arizona 06/19/2000
Arkansas 04/09/2007
California 05/18/2000
Colorado 01/22/2002
Connecticut 08/05/2005
Delaware 06/03/2013
District of Columbia 02/06/2006
Florida 09/25/1995
Georgia 01/22/2002
Hawaii 06/03/2013
Idaho 01/22/2002
Illinois 05/06/1992
Indiana 02/14/2001
Iowa 08/08/2005
Kansas 09/23/1992
Kentucky 01/06/2005
Louisiana 01/06/2005
Maine 11/05/2007
Maryland 05/04/2005
Massachusetts 01/22/2002
Michigan 01/22/2002
Minnesota 01/30/2002
Mississippi 04/07/2004
Missouri 08/13/1992
Montana 09/12/2005
Nebraska 04/05/2006
Nevada 04/03/2000
New Hampshire 04/11/2007
New Jersey 04/11/2000
New Mexico 04/05/2000
New York 04/07/2004
North Carolina 04/07/2004
North Dakota 06/03/2013
Ohio 01/22/2002
Oklahoma 09/05/2003
Oregon 04/25/2000
Pennsylvania 11/13/2003
Rhode Island 06/03/2013
South Carolina 04/05/2005
South Dakota 01/02/2008
Tennessee 01/23/2002
Texas 05/19/2000
Utah 04/07/2004
Vermont 01/06/2005
Virginia 01/22/2002
Washington 06/21/2000
West Virginia 08/04/2006
Wisconsin 07/24/1992
Wyoming 07/06/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser