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FIRST TRUST CAPITAL MARKETS

OUR MISSION

Our Capital Markets group is focused solely on the goals of community financial institutions. We understand the unique challenges facing depositories today and we seek to help them better navigate the investment landscape with discipline and direction so they might better meet their objectives. We believe the securities portfolios for community financial institutions can play a pivotal role in the institutions’ overall performance. Our role is to help our clients meet their investment objectives and identify potential problems they may be facing in the marketplace with respect to their investment portfolio.

OUR MODEL

We believe a key to “winning” in a fragmented market like municipals and an analytical market like mortgages comes from being able to see and survey the breadth of available opportunities, not just those that are proprietary to us. Our business model, we believe, is paramount to helping the depositories we serve access the market most effectively and achieve their investment objective.

OUR PHILOSOPHY

Operating within this model, we hold to a few core philosophies when serving our clients.

OUR 5 INVESTMENT PRINCIPLES

We take these investing principles into consideration in all aspects of our business. We are committed to providing original ideas and the highest level of service. We have a relentless focus on the needs of community financial institutions in fulfilling our mission to provide original ideas and the highest level of service.
1. KNOW WHAT YOU OWN
We believe transparency is valuable in aiding investors in making informed investment decisions.
2. INVEST FOR THE LONG-TERM
We believe investors are best served by following a well-considered, long-term strategy.
3. EMPLOY DISCIPLINE
Disciplined investing does not guarantee a profit or protect against loss, but we believe it reduces the probability of making emotional investing decisions which can result in entering or leaving the market at precisely the wrong time.
4. REBALANCE
Rebalancing resets your portfolio back to its intended allocation and provides the added benefit of helping to remove emotion and avoid the temptation to chase performance or shy away from value.
5. CONTROL TAXES
Minimizing taxes is an important part of an overall investing strategy for any investor with securities in a taxable account.

MUNICIPAL FIXED INCOME

One of our core proficiencies is helping institutions maximize their use of municipal securities in meeting their investment objectives by providing them broad access and analysis to the taxable and tax-exempt municipal marketplace. We help our clients accomplish this through:

TAXABLE FIXED INCOME

Utilizing tailored analytics, broad market surveillance, and specific depository investment experience, we help our clients find a sense of objectivity when evaluating taxable investment ideas.

CREDIT ANALYSIS. We believe credit analysis is critical to knowing what you own. Looking beyond ratings and into the metrics and mechanics of each issue/issuer is crucial to building a municipal portfolio that is specific to each institution’s goals. We help our clients with pre-purchase credit criterion and follow-up due diligence relevant to their institution's parameters and the opportunities presented in the market.

ATTENTION TO STRUCTURE. We believe bond structure is a key element when evaluating municipal securities as they relate to the goals within the investment portfolio and in planning for future changes within the institution and market.

ANALYTICAL ACUITY. Using industry-leading, third party analytical platform YieldBook, we seek to objectively identify opportunities in the market place that meet the investment objectives of the particular institution.

PREPAYMENT RISK. We believe it is critical to understand prepayment risks inherent in relevant products across various interest rate scenarios, especially those that would be most unfavorable.

OUR TEAM

RIC PEDERSEN
Senior Vice President,
Institutional Sales
RICH OLSON
Managing Director,
Institutional Sales
JEFF SAMUEL
Vice President,
Institutional Trading
DAVE RIEGER
Vice President,
Instituional Strategy
AUSTIN STOCKFISCH
Vice President,
Institutional Sales
DAN ROBBINS
Vice President,
Institutional Sales
BLAIR PETERSEN
Vice President,
Institutional Trading
CHRIS WHITTENHALL
Vice President,
Institutional Sales
and Strategy
SARAH SCHUSLER
Analyst,
Municipal Credit
 
 
The information presented is not intended to constitute an investment recommendation for, or advice to, any specific person. By providing this information, First Trust is not undertaking to give advice in any fiduciary capacity within the meaning of ERISA and the Internal Revenue Code. First Trust has no knowledge of and has not been provided any information regarding any investor. Financial advisors must determine whether particular investments are appropriate for their clients. First Trust believes the financial advisor is a fiduciary, is capable of evaluating investment risks independently and is responsible for exercising independent judgment with respect to its retirement plan clients.
First Trust Portfolios L.P.  Member SIPC and FINRA.
First Trust Advisors L.P.
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