James Michael Harrell

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	2009-03-26

IL RA
APPROVED

Since 2009-03-26

Branch Locations

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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	Lisle	IL	07/2006	Present

07/2006 → Present

First Trust Portfolios

Lisle, IL

Other Businesses

OTHER BUSINESS NAME: HARRELL ENTERPRISES LLC. LOCATION: 425 E OAK AVE, WHEATON, IL 60187. NATURE OF BUSINESS: PASSIVE REAL ESTATE INVESTING. POSITION OR TITLE: OWNER. RESPONSIBILITIES: OWNER/ PASSIVE INVESTOR. START DATE: JULY 18, 2022. INVESTMENT-RELATED: YES. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 1 HOUR A MONTH. OTHER BUSINESS NAME: SOARING HARRELL LLC. LOCATION: WHEATON, IL. NATURE OF BUSINESS: VACATION RENTAL. POSITION OR TITLE: OWNER. RESPONSIBILITIES: PASSIVELY OWNING A VACCATION RENTAL. START DATE: NOV 8, 2025. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 0.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-07-31

S66 Uniform Combined State Law Examination

2006-07-31

View on SEC IAPD

Current Employers

First Trust Advisors Lp

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

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