Mi Yong Lang

FIRST TRUST PORTFOLIOS L.P.

WHEATON, IL 60187

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CRD#: 2766004

Professional summary

Mi Yong Lang, who also goes by Mi Yong Kwon, Mi Yong Lang, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Mi Yong is registered as a RR (Registered Representative) and started their career in finance in 1996. Mi Yong has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mi Yong Kwon | Mi Yong Lang

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 Mi Yong Lang'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 15, 2013 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

February 13, 2006 - April 22, 2013

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

June 6, 2005 - January 26, 2006

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

March 3, 1997 - June 1, 2005

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

July 30, 1996 - November 22, 1996

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Illinois
(4/15/2013)

Exams

State Security Law Exam

Series 63

Date: 7/30/1996

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: 11/1/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/22/1996

Municipal 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)

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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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Advisor Monitoring

Firm Stability Insights

Mi Yong Lang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mi Yong Lang's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CALAMOS FINANCIAL SERVICES LLC

INVESCO CAPITAL MARKETS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/1/1996

Series 52

Date: 7/22/1996

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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