James Patrick Phillips

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

• 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

• 2016-07-15 → 2023-08-04
  Guggenheim Investments
  Chicago, IL
  New York, NY
  Denver, CO
  Englewood, CO
• 2016-01-04 → 2016-06-27
  Northcoast Asset Management Llc
  Stamford, CT
• 2015-02-12 → 2015-12-31
  Kovitz Investment Group, Llc
  Chicago, IL

Exams

• S66 Uniform Combined State Law Examination
  2015-02-09

Designations

• Certified Financial Planner