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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

SEAN DEMPSEY MORIARITY

Advisor at FIRST TRUST ADVISORS LP

WHEATON, IL | BOCA RATON, FL

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Search this name across graphsid dfx:ria:fa805f2c-4138-d4f8-77f0-a45f544d0657

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIRST TRUST ADVISORS LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 11, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Aug 11, 1989
First registration: Jun 26, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1887425

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIRST TRUST ADVISORS LP	Asset manager	Oct 22, 2008	n/a	yes	WHEATON, IL\|BOCA RATON, FL	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Aug 11, 2005	no	BOCA RATON, FL	Previous registration
QUICK & REILLY, INC.	n/a	Jan 2, 2004	Oct 20, 2004	no	BOCA RATON, FL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jun 26, 2001	Dec 19, 2003	no	BOCA RATON, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BANC OF AMERICA INVESTMENT SERVICES, INC.	FIRST TRUST ADVISORS LP	Aug 11, 2005	Oct 22, 2008	1,168	Firm change after gap	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	QUICK & REILLY, INC.	Dec 19, 2003	Jan 2, 2004	14	Firm change	Other

Relationships

Registered with (4)

→ FIRST TRUST ADVISORS LPRegistered adviserregistration: current employment
Oct 22, 2008 to presentfactForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Aug 11, 2005factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jan 2, 2004 to Oct 20, 2004factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 26, 2001 to Dec 19, 2003factForm ADV

Dated events

No dated event names this entity yet.