Stephen A. Sperber

FIRST TRUST ADVISORS LP

DOWNINGTOWN, PA

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CRD#: 5361885

Professional summary

Stephen A Sperber is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Downingtown, Pennsylvania and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

OTHER BUSINESS NAME: CAE SELF STORAGE WILKES-BARRE, LLC. LOCATION: DOWNINGTOWN, PA. NATURE OF BUSINESS: SELF STORAGE FACILITY. POSITION OR TITLE: INVESTOR. RESPONSIBILITIES: STRICKLY INVESTOR. INVESTMENT-RELATED: YES. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen A Sperber'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

October 6, 2015 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

DOWNINGTOWN, PA

Current

May 2, 2014 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

April 25, 2013 - April 24, 2014

MCG SECURITIES LLC

CRD#: 163144

WAYNE, PA

Past

December 3, 2012 - April 16, 2013

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

RADNOR, PA

Past

June 19, 2012 - December 3, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

RADNOR, PA

Past

July 9, 2007 - June 12, 2012

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(5/2/2014)

IAR

Illinois
(10/6/2015)

Pennsylvania
(5/2/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/1/2007

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: 4/24/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

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

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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

Stephen A. Sperber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen A Sperber's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

MCG SECURITIES LLC

HARTFORD FUNDS DISTRIBUTORS, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

EQUITABLE DISTRIBUTORS, LLC

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2015

Series 63

Date: 8/1/2007

SIE

Date: 10/1/2018

Series 7

Date: 4/24/2013

Series 6

Date: 7/6/2007

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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