Sara B. Pralle
Professional summary
Sara Beth Pralle, who also goes by Sara Beth Rask, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Sara is registered as a RR (Registered Representative) and started their career in finance in 1995. Sara has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sara Beth Pralle's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2018 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187August 1, 2016 - May 31, 2018
OTR GLOBAL TRADING LLC
June 2, 2014 - June 3, 2016
TOPEKA CAPITAL MARKETS INC.
August 29, 2006 - February 28, 2014
UBS FINANCIAL SERVICES INC.
December 12, 2005 - February 28, 2014
UBS FINANCIAL SERVICES INC.
November 2, 2001 - December 12, 2005
CITIZENS JMP SECURITIES, LLC
July 6, 2000 - October 23, 2001
THOMAS WEISEL PARTNERS LLC
April 6, 1998 - July 6, 2000
RBC CAPITAL MARKETS, LLC
April 10, 1995 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
January 1, 1995 - April 7, 1995
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2018)
Exams
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 |
Red Flags
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