Michael J. Egan

FIRST TRUST ADVISORS LP

NAPLES, FL 34109

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CRD#: 2124653

Professional summary

Michael Joseph Egan IV, CFP®, CIMA®, who also goes by Michael Joseph Egan IV, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Naples, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Michael Joseph Egan Iv

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Licensed Insurance Agent. Start date May 14, 2004. Approx. 0 hour/month not during trading hours. 2) Author, "Your Stronger Financial Future". Start date 9/7/09. Naples, FL. Approx. 0 hrs/month. not during trading hours. 3) Consultant for Venture Fund Marketing Team. Start date 8/1/2023. Naples, FL. Approx. 5 hrs/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Egan IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 20, 2024 - Present

FIRST TRUST ADVISORS LP

Office #1: 9130 Galleria Court Suite 202, Naples, FL 34109

RIA

CRD#: 107027

NAPLES, FL

Current

January 30, 2025 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

October 17, 2023 - December 20, 2024

FIRST TRUST INVESTMENT SOLUTIONS L.P.

RIA

CRD#: 328327

NAPLES, FL

Past

May 4, 2009 - January 6, 2020

MOORS & CABOT, INC.

RIA

CRD#: 594

NAPLES, FL

Past

March 22, 2007 - December 7, 2023

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

RIA

CRD#: 142672

NAPLES, FL

Past

December 13, 2005 - February 23, 2009

THE COLONY GROUP OF NAPLES, LLC

RIA

CRD#: 137218

BOSTON, MA

Past

December 2, 2005 - January 6, 2020

MOORS & CABOT, INC.

CRD#: 594

NAPLES, FL

Past

October 20, 1995 - December 19, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

NAPLES, FL

Past

July 30, 1994 - December 19, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 29, 1991 - August 11, 1992

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

January 29, 1991 - August 11, 1992

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

January 29, 1991 - August 11, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/11/2024)

IAR

Illinois
(11/20/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/3/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/21/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/17/2025

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/30/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/24/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael J. Egan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Egan IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST INVESTMENT SOLUTIONS L.P.

MOORS & CABOT, INC.

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

THE COLONY GROUP OF NAPLES, LLC

MOORS & CABOT, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/1994

Series 63

Date: 4/11/1991

SIE

Date: 10/1/2018

Series 3

Date: 4/3/1991

Series 7

Date: 2/21/1991

Series 4

Date: 6/17/2025

Series 24

Date: 3/26/2025

Series 10

Date: 5/30/2000

Series 9

Date: 4/24/2000

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

Contact information

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