Brian S. Wesbury

FIRST TRUST PORTFOLIOS L.P.

WHEATON, IL 60187

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CRD#: 1893956

Professional summary

Brian Stuart Wesbury, who also goes by Brian S Wesbury, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1991. Brian has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian S Wesbury

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 Brian Stuart Wesbury'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

January 31, 2006 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

March 23, 2005 - February 9, 2006

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

January 6, 1997 - April 1, 2005

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

MINNEAPOLIS, MN

Past

October 11, 1991 - January 6, 1995

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

MINNEAPOLIS, MN

Past

May 13, 1991 - October 16, 1991

THE CHICAGO CORPORATION

CRD#: 1449

CHICAGO, IL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(4/18/2022)

Illinois
(1/31/2006)

Exams

State Security Law Exam

Series 63

Date: 12/5/1991

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: 4/17/1991

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/23/1989

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2005

General Securities Principal 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)

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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	MANAGING DIRECTOR	2945880
MCGAREL, DAVID GERARD	CHIEF OPERATING OFFICER	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.

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Firm Stability Insights

Brian S. Wesbury

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Stuart Wesbury's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BMO CAPITAL MARKETS GKST INC.

BMO CAPITAL MARKETS GKST INC.

THE CHICAGO CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1991

Series 3

Date: 1/23/1989

Series 24

Date: 7/26/2005

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

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