Samuel James Willis

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2012 → Present
  First Trust Portfolios L.P.
  Wheaton, IL

Previous Registrations

• 2011-09-01 → 2012-07-06
  Nuveen Asset Management, Llc
  Chicago, IL
• 2007-07-13 → 2011-09-01
  Nuveen Fund Advisors, Llc
  Chicago, IL
• 2006-06-16 → 2007-05-14
  Allspring Funds Management, Llc
  Menomonee Falls, WI

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-06-15
• S63 Uniform Securities Agent State Law Examination
  2005-09-08