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James Matthew West

First Trust Advisors LP

Wheaton, IL

Austin, TX

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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 2023-01-01
TX RA APPROVED 2023-01-01
  • IL RA
    APPROVED
    Since 2023-01-01
  • TX RA
    APPROVED
    Since 2023-01-01

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

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
Purshe Kaplan Sterling Investments Albany NY 06/2022 09/2022
Thrivent Advisor Network Dba 49 Financial Austin TX 06/2022 09/2022
University Of Texas At Austin Austin TX 08/2018 05/2022
Whiskey Oak Realty Cedar Park TX 01/2022 05/2022
Endeavor Real Estate Group Austin TX 09/2021 12/2021
Episcopal School Of Dallas Dallas TX 08/2011 08/2021
First Trust Portfolios L.P. Wheaton IL 12/2022 Present
First Trust Advisors L.P. Wheaton IL 12/2022 Present
Unemployed Austin TX 09/2022 12/2022
  • 06/2022 → 09/2022
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 06/2022 → 09/2022
    Thrivent Advisor Network Dba 49 Financial
    Austin, TX
  • 08/2018 → 05/2022
    University Of Texas At Austin
    Austin, TX
  • 01/2022 → 05/2022
    Whiskey Oak Realty
    Cedar Park, TX
  • 09/2021 → 12/2021
    Endeavor Real Estate Group
    Austin, TX
  • 08/2011 → 08/2021
    Episcopal School Of Dallas
    Dallas, TX
  • 12/2022 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 12/2022 → Present
    First Trust Advisors L.P.
    Wheaton, IL
  • 09/2022 → 12/2022
    Unemployed
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-02
S63 Uniform Securities Agent State Law Examination 2022-04-14
  • S66 Uniform Combined State Law Examination
    2022-12-02
  • S63 Uniform Securities Agent State Law Examination
    2022-04-14

View on SEC IAPD

Other Firms

BOOSTER ASSET MANAGEMENT, LLC
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE ASSET MANAGEMENT, LLC
BROOKSTONE CAPITAL MANAGEMENT LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
CETERA INVESTMENT ADVISERS LLC
MONETTA FINANCIAL SERVICES INC

Other Investors

CORY JOHN GREBE
ALLAN CURTIS PARLIER
JASON MICHAEL CRUMP
DAVID KEVIN SEITZER
NORMAN CHARLES GARNER
RANDY LEON FLOYD
Julie Marie Cunningham
Nicole Lea Ayers

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
BROOKSTONE CAPITAL MANAGEMENT LLC · Wheaton, IL

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