James Kowal

First Trust Advisors LP

Redondo Beach, CA

CRD 7636936

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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

Authority	Category	Status	Date
IL	RA	APPROVED	2024-04-12

IL RA
APPROVED

Since 2024-04-12

Branch Locations

Redondo Beach, 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

Organization	City	State	From	To
Resolute Investment Distributors, Inc	Redondo Beach	CA	09/2022	11/2023
Ssi Investment Management	Los Angeles	CA	02/2014	11/2023
First Trust Portfolios L.P.	Wheaton	IL	11/2023	Present
First Trust Advisors L.P.	Wheaton	IL	11/2023	Present

09/2022 → 11/2023

Resolute Investment Distributors, Inc

Redondo Beach, CA
02/2014 → 11/2023

Ssi Investment Management

Los Angeles, CA
11/2023 → Present

First Trust Portfolios L.P.

Wheaton, IL
11/2023 → Present

First Trust Advisors L.P.

Wheaton, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-04-04
S63	Uniform Securities Agent State Law Examination	2023-06-05

S65 Uniform Investment Adviser Law Examination

2024-04-04
S63 Uniform Securities Agent State Law Examination

2023-06-05

View on SEC IAPD

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