James P. Phillips

FIRST TRUST ADVISORS LP

PALM BEACH GARDENS, FL

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CRD#: 6218431

Professional summary

James Patrick Phillips, CFP® is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Palm Beach Gardens, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view James Patrick Phillips'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: 2018

Experience

Current

July 19, 2023 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

PALM BEACH GARDENS, FL

Current

July 19, 2023 - Present

FIRST TRUST PORTFOLIOS L.P.

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

CRD#: 28519

WHEATON, IL

Past

July 15, 2016 - August 4, 2023

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

Englewood, CO

Past

July 15, 2016 - August 4, 2023

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

January 4, 2016 - June 27, 2016

KOVITZ INVESTMENT GROUP PARTNERS, LLC

RIA

CRD#: 282241

CHICAGO, IL

Past

February 12, 2015 - December 31, 2015

KOVITZ INVESTMENT GROUP, LLC

RIA

CRD#: 127880

CHICAGO, IL

Past

October 27, 2014 - June 27, 2016

KOVITZ SECURITIES, LLC

CRD#: 129878

CHICAGO, IL

Past

July 11, 2013 - July 23, 2014

LUPO FUTURES, LLC

CRD#: 155931

CHICAGO, IL

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
(1/14/2025)

IAR

Florida
(2/6/2025)

Illinois
(7/19/2023)

IAR

Illinois
(7/19/2023)

Puerto Rico
(1/14/2025)

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 66

Date: 2/9/2015

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: 10/27/2014

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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Firm Stability Insights

James P. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

KOVITZ INVESTMENT GROUP PARTNERS, LLC

KOVITZ INVESTMENT GROUP, LLC

KOVITZ SECURITIES, LLC

LUPO FUTURES, LLC

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/27/2014

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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