Thomas M. Byron

FIRST TRUST PORTFOLIOS L.P.

WHEATON, IL 60187

Some features on this profile are disabled

CRD#: 1058147

Professional summary

Thomas M Byron is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas M Byron's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 11, 2022 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

November 2, 2015 - September 16, 2019

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

October 27, 2015 - September 16, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

June 21, 2010 - February 3, 2015

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

DOWNERS GROVE, IL

Past

June 21, 2010 - February 3, 2015

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

June 9, 2005 - June 7, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

August 26, 1982 - June 7, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.

CRD#: 28519 / SEC#: , 8-43843

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Phone number

(630) 765-8000

Established

Illinois since 05/10/1991

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GRACE PARTNERS OF DUPAGE L.P.	LIMITED PARTNER
BOWEN, JAMES ALLEN	CHIEF EXECUTIVE OFFICER	1123316
BOWEN, MARISA ANN	MANAGING DIRECTOR	1949032
DYKAS, JAMES MARTIN	CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR	2264809
JACKSON, ERIK SOREN	CHIEF COMPLIANCE OFFICER	2950559
JARDINE, WILLIAM SCOTT	GENERAL COUNSEL	2609233
MCGAREL, DAVID GERARD	CHIEF OPERATING OFFICER	2945880
MCGAREL, DAVID GERARD	MANAGING DIRECTOR	2945880
ROGGENSACK, ANDREW SCOTT	PRESIDENT	1582059
THE CHARGER CORPORATION	GENERAL PARTNER

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas M. Byron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas M Byron's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO ASSET MANAGEMENT CORP.

BMO INVESTMENT DISTRIBUTORS, LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/1999

Series 63

Date: 3/5/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1982

FINRA

Current Firm

FIRST TRUST PORTFOLIOS L.P.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST TRUST PORTFOLIOS L.P.

TRUST BUT VERIFY

Similar Advisors