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FIRM PROFILE
Overview
FIRST TRUST PORTFOLIOS L.P. is located at 120 E. Liberty Drive Suite 400, Wheaton, IL 60187 and was first established at Chicago, Illinois in 05/10/1991. After operating for 35 years, FIRST TRUST PORTFOLIOS L.P. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FIRST TRUST PORTFOLIOS L.P.’s clients are individuals and 0% of their clients are high net worth individuals. FIRST TRUST PORTFOLIOS L.P. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FIRST TRUST PORTFOLIOS L.P. are registered to handle securities or provide financial advice. The firm has 4 disclosures, 4 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FIRST TRUST PORTFOLIOS L.P.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FIRST TRUST PORTFOLIOS L.P.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for FIRST TRUST PORTFOLIOS L.P. Comes From
Understanding the Statistics for FIRST TRUST PORTFOLIOS L.P. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Large
(630) 765-8000
Illinois since 05/10/1991
Partnership
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | ||
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 | |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 | |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 | |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 | |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 | |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 | |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 | |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 | |
| THE CHARGER CORPORATION | GENERAL PARTNER |
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Advisor's working at FIRST TRUST PORTFOLIOS L.P.
Christian Shaughnessy
Michael Joseph Egan IV
James Allen Bowen
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