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Kathleen Wieland Brown

FIRST TRUST ADVISORS LP·WHEATON, Illinois
SIE, Series 7, Series 8, Series 9, Series 10, Series 14, Series 24, Series 27, Series 63, Series 79TO, Series 99TOClean recordFIRST TRUST ADVISORS LP
120 E. LIBERTY DRIVE, WHEATON, IL 60187CRD# 2000718Firm CRD# 107027

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Kathleen Wieland Brown · WHEATON, IL
Registration
CRD #2000718 · FIRST TRUST ADVISORS LP
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 8
Series 9
Series 10
Series 14
Series 24
Series 27
Series 63
Series 79TO
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
FIRST TRUST ADVISORS LP
CRD 107027 · SEC 801-39950
AUM
$210.9B
Regulatory assets under management
Employees
426
2,926 client accounts
Services offered by FIRST TRUST ADVISORS LP
Per Form ADV
Portfolio management (individuals)
Portfolio management (pooled investments)
Pension consulting
Selection of other advisers
Security ratings or pricing services
Market timing services
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
Pension & Retirement Plans
View all advisors at FIRST TRUST ADVISORS LP →
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04

Frequently Asked Questions

What services does Kathleen Wieland Brown offer?
Kathleen Wieland Brown specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in WHEATON, Illinois for a consultation.
What are Kathleen Wieland Brown's credentials?
Kathleen Wieland Brown is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Kathleen Wieland Brown located?
Kathleen Wieland Brown is based in WHEATON, Illinois, working with FIRST TRUST ADVISORS LP. Their office serves clients in the WHEATON metropolitan area and surrounding communities.
How does Kathleen Wieland Brown charge for services?
Kathleen Wieland Brown's firm is compensated through percentage of aum, other: fixed fees per unit (uits) for portfolio supervisory services. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is FIRST TRUST ADVISORS LP?
FIRST TRUST ADVISORS LP has approximately 426 employees and manages $210.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at FIRST TRUST ADVISORS LP

Robert Scott Hall
WHEATON, IL
Daniel Joel Lindquist
WHEATON, IL
Andrew Scott Roggensack
WHEATON, IL
Robert Franklin Carey
WHEATON, IL
CFA
Ronald Dean Mcalister
WHEATON, IL

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Research
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