James Ralph Rowlette Iii

First Trust Advisors LP

CRD 4711127

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Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

First Trust Advisors Lp

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2012-06-27

IL RA
APPROVED

Since 2012-06-27

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Iowa City, IA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Trust Portfolios L.P.	Lisle	IL	09/2003	Present

09/2003 → Present

First Trust Portfolios L.P.

Lisle, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-06-26
S63	Uniform Securities Agent State Law Examination	2003-10-14

S66 Uniform Combined State Law Examination

2012-06-26
S63 Uniform Securities Agent State Law Examination

2003-10-14

View on SEC IAPD

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