Joseph Foley, financial advisor Houston TX
93 score

Joseph Foley

CRD Number: 5417602
Current Firm: First Trust Advisors LP

Joseph Foley (CRD# 5417602) is an Investment Advisor Representative working at First Trust Advisors LP in Houston, TX and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
First Trust Portfolios LP Wheaton, IL Aug 2007 - Current 9
Sentry Insurance Mutual Company Stevens Point, WI Aug 2006 - Sep 2007 1
Grace Fellowship Church Costa Mesa, CA May 2005 - Aug 2006 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2007
Contact Info for Joseph L. Foley
Phone Number: 630-765-8000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    104,224
    MILLIONS
  • Total Number of Accounts
    4,116
    ACCOUNTS
  • Average Account Value
    $25,321,679
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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