Role at First Trust Advisors
- Title on Schedule A
- Chief Executive Officer
- Control
- James Bowen is a control person of First Trust Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- James Bowen has held the filed role since December 2010.
The firm
Form ADV filed 30 April 2026
Career on record
James Bowen has been registered through First Trust Advisors since May 2000.
- Passed Series 39 · 2023
- Passed SIE · 2018
- First Trust Advisors LPCurrent– present · 26 yearsWheaton, IL · Adviser representative · Firm CRD 107027
- Passed Series 24 · 1989
- Passed Series 7 · 1985
- Passed Series 63 and Series 22 · 1983
Registrations and exams
James Bowen has a current investment-adviser registration in Illinois and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Illinois | Investment adviser representative | Approved | 6 May 2000 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 26 May 1983 |
| Series 39 | Direct Participation Programs Principal Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 28 April 1989 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 20 July 1985 |
| Series 22 | Direct Participation Programs Representative Examination | 20 December 1983 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Principal Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
Individual record
- Full name
- James Allen Bowen
- CRD
- 1123316
- 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 James Bowen work?
James Bowen has been Chief Executive Officer of First Trust Advisors LP since December 2010, and is a control person of the firm.
Is James Bowen a financial advisor?
Yes. James Bowen has a current investment-adviser registration in Illinois, through First Trust Advisors since May 2000, as of 17 October 2026.
How many years of experience does James Bowen have?
James Bowen has worked in the financial industry for 42 years as of 17 October 2026, counted from 14 April 1984, across 1 adviser firm.
What exams has James Bowen passed?
James Bowen has passed 6 licensing exams: the Series 63, Series 22, Series 7, Series 24, SIE and Series 39. The earliest, the Series 63, was passed in May 1983.
Where is James Bowen based?
James Bowen’s registered office is in Wheaton, IL.
Leadership at First Trust Advisors
- Andrew RoggensackPresident
- James DykasChief Financial Officer / Managing Director
- David McGarelChief Operating Officer
- Kelly DehlerChief Compliance Officer
- Robert HallManaging Director
- William JardineGeneral Counsel
- Daniel LindquistManaging Director
- David McGarelManaging Director/Chief Investment Officer