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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-07-05
TX RA APPROVED 2015-05-05
  • IL RA
    APPROVED
    Since 2017-07-05
  • TX RA
    APPROVED
    Since 2015-05-05

Branch Locations

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

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Trust Portfolios L.P. Wheaton IL 04/2015 Present
First Trust Advisors L.P. Wheaton IL 04/2015 Present
Previous Registrations
Other Businesses

OTHER BUSINESS NAME: LOAN STAR SOCCER. LOCATION: 12325 HYMEADOW DR. #1-200 AUSTIN, TX 78750. NATURE OF BUSINESS: COACHING SOCCER. POSITION OR TITLE: SOCCER COACH. RESPONSIBILITIES: COACHING 2-4 PRACTICES A WEEK AND 1-2 GAMES ON WEEKENDS. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 25 TOTAL/NONE DURING MARKET HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-29
S63 Uniform Securities Agent State Law Examination 2008-02-26
  • S66 Uniform Combined State Law Examination
    2014-08-29
  • S63 Uniform Securities Agent State Law Examination
    2008-02-26
Other Names
  • James M Brecher
  • James Mattew Brecher

View on SEC IAPD

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