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Kathleen Wieland Brown

First Trust Portfolios LP

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About Kathleen Wieland Brown

Kathleen Wieland Brown is a financial professional with over 25 years of experience in the industry. Kathleen is a registered representative and holds a Series 7, 9, 10, 14, 24, 27, 63, 79TO, 99TO and SIE. Kathleen is currently employed at First Trust Portfolios LP. Previously, Kathleen has worked for BONDWAVE LLC and William Blair & Company L.L.C.. Kathleen is licensed to operate in Illinois.

Firm Information

Kathleen Brown 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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Kathleen Brown’s Registration & Firm History

IL

02/19/2008 - Present

First Trust Portfolios LP (WHEATON IL)

IL

02/19/2008 - 01/26/2009

BONDWAVE LLC (WHEATON IL)

IL

01/16/1996 - 06/30/2006

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

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Licenses & Designations

BC

Issued 02/01/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/21/2014

Series 27 - Financial and Operations Principal Examination

BC

Issued 05/01/1996

Series 14 - Compliance Officer Examination

BC

Issued 01/29/1996

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/19/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/15/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathleen Wieland Brown.
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