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Anne Frances Lawler

First Trust Advisors LP

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About Anne Frances Lawler

Anne Lawler is a registered representative with First Trust Advisors LP in WHEATON, IL. Anne has been working in the securities industry since 2008 and has experience with both retail and institutional clients. Anne's expertise includes portfolio management, investment company products, and securities trading. Anne holds Series 7, 6, 63, and 66 licenses, and she is a graduate of the SIE exam. Anne has previously worked at NIKE SECURITIES L.P. and VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC.

Firm Information

Anne Lawler is currently registered with First Trust Advisors LP. First Trust Advisors LP is an investment advisor headquartered in Wheaton, Illinois, with over 210 billion in assets under management. The firm provides portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. They specialize in ETF development and management and offer a variety of investment strategies, including index tracking, active management, and alternative investments. First Trust Advisors LP also publishes periodicals and selects other advisors for its clients.
First Trust Advisors LP

120 E. LIBERTY DRIVE

WHEATON, IL 60187

$210.88B

Assets Under Management

Not reported

Total Clients

499

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fixed fees per unit (uits) for portfolio supervisory services

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Anne Lawler’s Registration & Firm History

IL

08/10/2015 - Present

First Trust Advisors LP (WHEATON IL)

IL

07/21/1997 - 07/02/2001

NIKE SECURITIES L.P. (WHEATON IL)

TX

08/19/1996 - 08/11/1997

VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC. (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 10/11/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/13/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/16/2013

Series 7 - General Securities Representative Examination

BC

Issued 08/16/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Anne Frances Lawler.
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