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Stephen A Sperber

First Trust Advisors LP

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About Stephen A Sperber

Stephen Sperber is an investment advisor representative with First Trust Advisors LP in WHEATON, IL. Stephen has been in the financial services industry since 2007. Stephen has passed the Series 6, 7, 63 and 66 securities exams. Stephen has previously worked with MCG Securities LLC and Hartford Investment Financial Services, LLC.

Firm Information

Stephen Sperber 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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Stephen Sperber’s Registration & Firm History

IL

10/06/2015 - Present

First Trust Advisors LP (WHEATON IL)

PA

04/25/2013 - 04/24/2014

MCG SECURITIES LLC (WAYNE PA)

PA

12/03/2012 - 04/16/2013

HARTFORD INVESTMENT FINANCIAL SERVICES, LLC (RADNOR PA)

PA

06/19/2012 - 12/03/2012

HARTFORD LIFE DISTRIBUTORS, LLC (RADNOR PA)

NC

07/09/2007 - 06/12/2012

AXA DISTRIBUTORS, LLC (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 10/06/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/01/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/24/2013

Series 7 - General Securities Representative Examination

BC

Issued 07/06/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen A Sperber.
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