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Catherine Abigail Mittenthal

First Trust Portfolios LP

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About Catherine Abigail Mittenthal

Catherine Mittenthal is a financial advisor registered with the state of Illinois. She holds a Series 6, 7, and 63 license. Catherine has been in the financial industry since 2003 and is affiliated with First Trust Portfolios LP.

Firm Information

Catherine Mittenthal is currently registered with First Trust Portfolios LP. First Trust Portfolios LP is a Partnership formed in May 1991. It is registered with the SEC and in all 50 states as well as the District of Columbia and Puerto Rico. The firm has had 3 regulatory events disclosed.

Not reported

Assets Under Management

Not reported

Total Clients

114

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.

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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Catherine Mittenthal’s Registration & Firm History

IL

08/28/2003 - Present

First Trust Portfolios LP (WHEATON IL)

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Licenses & Designations

BC

Issued 08/22/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/2003

Series 7 - General Securities Representative Examination

BC

Issued 05/22/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Catherine Abigail Mittenthal.
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