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James Patrick Phillips

First Trust Advisors LP

Wheaton, IL

Palm Beach Gardens, FL

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Current Employers
First Trust Advisors Lp

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-06
IL RA APPROVED 2023-07-19
  • FL RA
    APPROVED
    Since 2025-02-06
  • IL RA
    APPROVED
    Since 2023-07-19

Branch Locations

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

Palm Beach Gardens, FL • 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
Guggenheim Funds Distributors, Llc Chicago IL 07/2016 07/2023
First Trust Portfolios L.P. Wheaton IL 07/2023 Present
First Trust Advisors L.P. Wheaton IL 07/2023 Present
  • 07/2016 → 07/2023
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 07/2023 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 07/2023 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-09
  • S66 Uniform Combined State Law Examination
    2015-02-09
Designations

View on SEC IAPD

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Other Offices

BOOSTER ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE WEALTH ADVISORS, LLC · WHEATON, IL
BROOKSTONE ASSET MANAGEMENT, LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WHEATON, IL
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