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Mallory Nicole Moore

First Trust Advisors LP

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About Mallory Nicole Moore

Mallory Nicole Moore is a registered representative with First Trust Advisors LP. Mallory Moore is also registered as an investment advisor representative in Texas and Illinois. Mallory Moore has been in the industry since 2021 and previously worked at FOX CHASE CAPITAL PARTNERS, LLC and ASCENDANT ALTERNATIVE STRATEGIES, LLC. Mallory Moore has passed the Series 63, 66, 7TO, and SIE exams. Mallory Moore works primarily with investment companies, pooled investment vehicles, and individuals.

Firm Information

Mallory Moore 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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Mallory Moore’s Registration & Firm History

TX

09/21/2021 - Present

First Trust Advisors LP (AUSTIN TX)

NJ

02/17/2021 - 03/10/2021

FOX CHASE CAPITAL PARTNERS, LLC (SPRINGFIELD NJ)

TX

01/26/2021 - 02/12/2021

ASCENDANT ALTERNATIVE STRATEGIES, LLC (Austin TX)

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Licenses & Designations

BOTH

Issued 09/20/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/21/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/26/2021

Series 7TO - General Securities Representative Examination

BC

Issued 12/14/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mallory Nicole Moore.
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