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David Mcgarel

Managing Director/chief Investment Officer; Chief Operating Officer at First Trust Advisors

Investment adviser and broker registrationsWheaton, ILSEC record checked 17 October 2026

20
Years in the industry
15
Years at the firm
1
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

David Mcgarel is Managing Director/chief Investment Officer; Chief Operating Officer of First Trust Advisors LP, a Wheaton investment adviser managing $309B. David Mcgarel has been registered through First Trust Advisors since 18 May 2011, has 20 years in the industry across 1 firm and has passed the Series 7, Series 63 and SIE.

Role at First Trust Advisors

Title on Schedule A
Managing Director/chief Investment Officer; Chief Operating Officer
Control
David Mcgarel is a control person of First Trust Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Mcgarel has held the filed Managing Director/chief Investment Officer role since 2012-07-01 and Chief Operating Officer role since 2016-01-01.

The firm

First Trust Advisors LP
Wheaton, IL

Form ADV filed 30 April 2026

$309B AUM5,731 clients143 advisers5 offices

Career on record

David Mcgarel has been registered through First Trust Advisors since May 2011.

Firms and exams, newest first
  1. Passed SIE · 2018
  2. First Trust Advisors LPCurrent
    – present · 15 years
    Wheaton, IL · Adviser representative · Firm CRD 107027
  3. Passed Series 7 and Series 63 · 2006

Registrations and exams

David Mcgarel has a current investment-adviser registration in Illinois and has passed 3 qualifying exams.

Illinois18 May 2011
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6328 June 2006
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 720 June 2006
Name
General Securities Representative Examination

Individual record

Full name
David Gerard Mcgarel
CRD
2945880
Firm
First Trust Advisors LP
Registration status
Investment adviser and broker registrations
Office
120 E. LIBERTY DRIVE, SUITE 400, Wheaton, IL 60187

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Mcgarel work?

David Mcgarel is Managing Director/chief Investment Officer; Chief Operating Officer of First Trust Advisors LP, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 April 2026

Is David Mcgarel a financial advisor?

Yes. David Mcgarel has a current investment-adviser registration in Illinois, through First Trust Advisors since May 2011, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does David Mcgarel have?

David Mcgarel has worked in the financial industry for 20 years as of 17 October 2026, counted from 20 June 2006, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has David Mcgarel passed?

David Mcgarel has passed 3 licensing exams: the Series 7, Series 63 and SIE. The earliest, the Series 7, was passed in June 2006.

Source: IAPD individual record, checked 17 October 2026

Where is David Mcgarel based?

David Mcgarel’s registered office is in Wheaton, IL.

Source: IAPD individual record, checked 17 October 2026

Leadership at First Trust Advisors

Sources

  1. IAPD individual record, CRD 2945880. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of First Trust Advisors LP, filed 30 April 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Mcgarel or First Trust Advisors LP and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.