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JD

James M. Dykas

FIRST TRUST PORTFOLIOS L.P.
Franklin, TN 37067
Some features on this profile are disabled
CRD#: 2264809
JD

Professional summary

James Martin Dykas is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Franklin, Tennessee.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Martin Dykas'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®
None

Experience

Current

January 31, 2005 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 5000 Meridian Blvd Suite 500, Franklin, TN 37067
BD
CRD#: 28519
Franklin, TN
Past

June 30, 1994 - January 25, 2005

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/19/2016
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FT
FIRST TRUST PORTFOLIOS L.P.
FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.

CRD#: 28519 / SEC#: , 8-43843

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Mailing Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Phone number
(630) 765-8000
Established
Illinois since 05/10/1991
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRACE PARTNERS OF DUPAGE L.P.LIMITED PARTNER
BOWEN, JAMES ALLENCHIEF EXECUTIVE OFFICER1123316
BOWEN, MARISA ANNMANAGING DIRECTOR1949032
DYKAS, JAMES MARTINCHIEF FINANCIAL OFFICER / MANAGING DIRECTOR2264809
JACKSON, ERIK SORENCHIEF COMPLIANCE OFFICER2950559
JARDINE, WILLIAM SCOTTGENERAL COUNSEL2609233
MCGAREL, DAVID GERARDCHIEF OPERATING OFFICER2945880
MCGAREL, DAVID GERARDMANAGING DIRECTOR2945880
ROGGENSACK, ANDREW SCOTTPRESIDENT1582059
THE CHARGER CORPORATIONGENERAL PARTNER

Disclosures

Regulatory Event4

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.

Company Information

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519Franklin, TN 37067

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