Justin S. Appel

FIRST TRUST ADVISORS LP

MIAMI, FL

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CRD#: 5917307

Professional summary

Justin Scott Appel, who also goes by Justin Scott Appel, Justin Appel, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Miami, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Justin has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Justin Scott Appel | Justin Appel

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) - RIA

Click below to view Justin Scott Appel'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 6, 2025 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

MIAMI, FL

Current

October 14, 2024 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

August 29, 2019 - September 17, 2024

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

August 11, 2016 - August 6, 2019

NATIXIS ADVISORS, LLC

RIA

CRD#: 106800

Santa Monica, CA

Past

March 13, 2015 - August 6, 2019

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

San Francisco, CA

Past

April 24, 2014 - March 19, 2015

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

IRVINE, CA

Past

April 23, 2014 - March 19, 2015

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

IRVINE, CA

Past

September 23, 2011 - March 18, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DELRAY BEACH, FL

Past

July 19, 2011 - March 18, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DELRAY BEACH, FL

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(10/14/2024)

IAR

Florida
(2/5/2025)

Illinois
(10/14/2024)

IAR

Illinois
(1/6/2025)

Puerto Rico
(12/16/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/17/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2011

General Securities Representative 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.

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Advisor Monitoring

Firm Stability Insights

Justin S. Appel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin Scott Appel's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

DWS DISTRIBUTORS, INC.

NATIXIS ADVISORS, LLC

NATIXIS DISTRIBUTION, LLC

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/2024

Series 66

Date: 9/17/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2011

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

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