Kathleen W. Brown
Professional summary
Kathleen Wieland Brown, who also goes by Kathleen Brown, Kathleen Ann Wieland, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1996. Kathleen has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 27, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Wieland Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2008 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187February 19, 2008 - January 26, 2009
BONDWAVE LLC
January 16, 1996 - June 30, 2006
WILLIAM BLAIR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2008)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 1/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
FIRST TRUST PORTFOLIOS L.P.
CRD#: 28519 / SEC#: , 8-43843
Contact information
FINRA licenses (52 States and Territories)
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 | 4 |
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