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LD

Luke C. Dvorak

FIRST TRUST PORTFOLIOS L.P.
WHEATON, IL 60187
Some features on this profile are disabled
CRD#: 7959864
LD

Professional summary

Luke Corvino Dvorak is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Luke is registered as a RR (Registered Representative) and started their career in finance in 2024. Luke has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luke Corvino Dvorak'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 20, 2026 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187
BD
CRD#: 28519
WHEATON, IL
Past

August 21, 2024 - April 16, 2026

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(4/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2026
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/30/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FT
FIRST TRUST PORTFOLIOS L.P.
FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.

CRD#: 28519 / SEC#: , 8-43843

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRACE PARTNERS OF DUPAGE L.P.LIMITED PARTNER
BOWEN, JAMES ALLENCHIEF EXECUTIVE OFFICER1123316
BOWEN, MARISA ANNMANAGING DIRECTOR1949032
DYKAS, JAMES MARTINCHIEF FINANCIAL OFFICER / MANAGING DIRECTOR2264809
JACKSON, ERIK SORENCHIEF COMPLIANCE OFFICER2950559
JARDINE, WILLIAM SCOTTGENERAL COUNSEL2609233
MCGAREL, DAVID GERARDMANAGING DIRECTOR2945880
MCGAREL, DAVID GERARDCHIEF OPERATING OFFICER2945880
ROGGENSACK, ANDREW SCOTTPRESIDENT1582059
THE CHARGER CORPORATIONGENERAL PARTNER

Disclosures

Regulatory Event4

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.

Company Information

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519Wheaton, IL 60187

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