FIRST TRUST ADVISORS LP of WHEATON, IL is an SEC-registered investment adviser (CRD 107027). Regulatory assets under management: $309.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: High net worth, Pooled vehicles, Charities, Corporations, Investment cos.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| James Allen Bowen | CHIEF EXECUTIVE OFFICER; SOLE SHAREHOLDER | — |
| Robert Scott Hall | MANAGING DIRECTOR | — |
| William Scott Jardine | GENERAL COUNSEL | — |
| Andrew Scott Roggensack | PRESIDENT | — |
| David Gerard Mcgarel | CHIEF OPERATING OFFICER; MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER | — |
| Daniel Joel Lindquist | MANAGING DIRECTOR | — |
| James Martin Dykas | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | — |
| Kelly Catherine Dehler | CHIEF COMPLIANCE OFFICER | — |
| HALL DAVID SCOTT | MANAGING DIRECTOR | — |
| VANKAMPEN JUDITH MARLEE | VOTING AGREEMENT | — |
| VANKAMPENPIERRE KARLA MARLEE | SHAREHOLDER | — |
| MCDERMOTT JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | — |
| WISEN KRISTEN JOY | SHAREHOLDER | — |
| BRADLEY MARK RAYMOND | CHIEF OPERATING OFFICER; MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | — |
| BOWEN JAMES ALLEN | CHIEF EXECUTIVE OFFICER; PRESIDENT; SHAREHOLDER (+1 more) | — |
| JARDINE WILLIAM SCOTT | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL | — |
| CAREY ROBERT FRANKLIN | CHIEF INVESTMENT OFFICER | — |
| MCALISTER RONALD DEAN | MANAGING DIRECTOR | — |
| BREDEMEIER ROBERT WILLIAM | MANAGING DIRECTOR; MANAGING DIRECTOR/CHIEF OPERATING OFFICER | — |
| MOHR MITCHELL EUGENE | CHIEF COMPLIANCE OFFICER | — |
| FIELD DAVID BROOKS | CHIEF INVESTMENT OFFICER/SENIOR VICE PRESIDENT | — |
| WEBB WILLIAM D | CHIEF COMPLIANCE OFFICER | — |
| VANKAMPEN-PIERRE KARLA MARLEE | SHAREHOLDER | — |
| BROWN KATHLEEN WIELAND | CHIEF COMPLIANCE OFFICER | — |
| ROGGENSACK ANDREW SCOTT | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-10-18 | regulatory | ON OCTOBER 19, 2022, FTA HELD A LONG POSITION IN DECEMBER 2022 LEAN HOG FUTURES THAT EXCEEDED THE POSITION LIMIT BY 463 CONTRACTS. | Final | $15K |
| — | regulatory | — | — | — |