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Sara Beth Pralle

First Trust Portfolios LP

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About Sara Beth Pralle

Sara Pralle is a financial advisor located in Wheaton, Illinois. Sara has been working in the financial services industry since August 1995. Sara is currently registered with First Trust Portfolios LP. Sara holds the following licenses: Series 66, Series 63, Series 24, SIE, and Series 7. Sara has been registered in Illinois since August 2018.

Firm Information

Sara Pralle 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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Sara Pralle’s Registration & Firm History

IL

08/03/2018 - Present

First Trust Portfolios LP (WHEATON IL)

NY

08/01/2016 - 05/31/2018

OTR GLOBAL TRADING LLC (PURCHASE NY)

IL

06/02/2014 - 06/03/2016

TOPEKA CAPITAL MARKETS INC. (CHICAGO IL)

IL

12/12/2005 - 02/28/2014

UBS FINANCIAL SERVICES INC. (CHICAGO IL)

CA

11/02/2001 - 12/12/2005

JMP SECURITIES LLC (SAN FRANCISCO CA)

CA

07/06/2000 - 10/23/2001

THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)

NY

04/06/1998 - 07/06/2000

DAIN RAUSCHER INCORPORATED (NEW YORK NY)

MN

04/10/1995 - 04/06/1998

WESSELS, ARNOLD & HENDERSON, L.L.C. (MINNEAPOLIS MN)

NA

01/01/1995 - 04/07/1995

DAIN BOSWORTH INCORPORATED

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Licenses & Designations

BOTH

Issued 08/28/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/15/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/10/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/23/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sara Beth Pralle.
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