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James Kowal

First Trust Advisors LP

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About James Kowal

James Kowal is a financial advisor registered with First Trust Advisors LP and Resolute Investment Distributors, Inc. James has passed the Series 7, Series 63, Series 65, and SIE exams and is registered in California and Illinois. James has worked in the financial industry for over 10 years and specializes in providing portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. James is also a published author and frequently writes articles on financial topics.

Firm Information

James Kowal is currently registered with First Trust Advisors LP. First Trust Advisors LP is an investment advisor headquartered in Wheaton, Illinois, with over 210 billion in assets under management. The firm provides portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. They specialize in ETF development and management and offer a variety of investment strategies, including index tracking, active management, and alternative investments. First Trust Advisors LP also publishes periodicals and selects other advisors for its clients.
First Trust Advisors LP

120 E. LIBERTY DRIVE

WHEATON, IL 60187

$210.88B

Assets Under Management

Not reported

Total Clients

499

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fixed fees per unit (uits) for portfolio supervisory services

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James Kowal’s Registration & Firm History

CA

04/12/2024 - Present

First Trust Advisors LP (REDONDO BEACH CA)

TX

02/03/2023 - 11/09/2023

RESOLUTE INVESTMENT DISTRIBUTORS, INC. (IRVING TX)

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Licenses & Designations

IA

Issued 04/04/2024

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/05/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 11/29/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Kowal. Review regulatory record here.
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