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James Bourque

First Trust Advisors LP

Lafayette, CA

Wheaton, IL

CRD 6595792

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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

AuthorityCategoryStatusDate
IL RA APPROVED 2024-06-17
  • IL RA
    APPROVED
    Since 2024-06-17

Branch Locations

Lafayette, CA • United States

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
OrganizationCityStateFromTo
First Trust Portfolios L.P. Wheaton IL 01/2024 Present
First Trust Advisors L.P. Wheaton IL 01/2024 Present
San Diego Padres San Diego CA 05/2023 08/2023
Chicago Cubs Chicago IL 01/2021 11/2022
Washington Nationals Washington Dc DC 06/2014 10/2020
Morgan Stanley Chicago IL 11/2016 02/2017
Unemployed Chicago IL 08/2023 01/2024
Unemployed Chicago IL 11/2022 05/2023
Unemployed Chicago IL 10/2020 01/2021
  • 01/2024 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 01/2024 → Present
    First Trust Advisors L.P.
    Wheaton, IL
  • 05/2023 → 08/2023
    San Diego Padres
    San Diego, CA
  • 01/2021 → 11/2022
    Chicago Cubs
    Chicago, IL
  • 06/2014 → 10/2020
    Washington Nationals
    Washington Dc, DC
  • 11/2016 → 02/2017
    Morgan Stanley
    Chicago, IL
  • 08/2023 → 01/2024
    Unemployed
    Chicago, IL
  • 11/2022 → 05/2023
    Unemployed
    Chicago, IL
  • 10/2020 → 01/2021
    Unemployed
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-06-12
S63 Uniform Securities Agent State Law Examination 2024-02-14
  • S65 Uniform Investment Adviser Law Examination
    2024-06-12
  • S63 Uniform Securities Agent State Law Examination
    2024-02-14
Other Names
  • James Buchanan Bourque

View on SEC IAPD

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