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James Dykas

Chief Financial Officer / Managing Director at First Trust Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Dykas is Chief Financial Officer / Managing Director of First Trust Advisors LP, a Wheaton investment adviser managing $309B. James Dykas has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 27, SIE and Series 99TO.

Role at First Trust Advisors

Title on Schedule A
Chief Financial Officer / Managing Director
Control
James Dykas is a control person of First Trust Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Dykas has held the filed role since January 2016.

The firm

First Trust Advisors LP
Wheaton, IL

Form ADV filed 30 April 2026

$309B AUM5,731 clients143 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 2016
  4. Passed Series 7 · 1994

Registrations and exams

Broker registration; no current adviser registration. James Dykas has passed 4 qualifying exams.

Examinations

Series 2719 January 2016
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 729 June 1994
Name
General Securities Representative Examination

Individual record

Full name
James Martin Dykas
CRD
2264809
Firm
First Trust Advisors LP
Registration status
Broker registration; no current adviser registration

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 Dykas work?

James Dykas has been Chief Financial Officer / Managing Director of First Trust Advisors LP since January 2016, and is a control person of the firm.

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

Does James Dykas have a current investment-adviser registration?

James Dykas has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has James Dykas passed?

James Dykas has passed 4 licensing exams: the Series 7, Series 27, SIE and Series 99TO. The earliest, the Series 7, was passed in June 1994.

Source: IAPD individual record, checked 17 October 2026

Leadership at First Trust Advisors

Sources

  1. IAPD individual record, CRD 2264809. 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 James Dykas 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.