James Carlson, financial advisor Wheaton IL
88 score

James Carlson

CRD Number: 6312359
Current Firm: First Trust Advisors LP

James Carlson (CRD# 6312359) is an Investment Advisor Representative working at First Trust Advisors LP in Wheaton, IL and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
First Trust Portfolios LP Wheaton, IL Mar 2014 - Current 2
Md Hospitality Chicago, IL Jan 2014 - Mar 2014 < 1
American Junkie Chicago, IL Sep 2013 - Jan 2014 < 1
Downtown Entertainment Chicago, IL Jan 2013 - Sep 2013 < 1
Mercadito Hospitality Chicago, IL Apr 2012 - Jan 2013 < 1
Downtown Entertainment Chicago, IL Aug 2009 - Mar 2012 2
Loyola Univeristy Chicago, IL Aug 2008 - May 2010 1
Prost Chicago, IL Aug 2008 - May 2009 < 1
Old Town Draught House Greensboro, IL Jun 2004 - May 2008 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2014
Contact Info for James A. Carlson
Phone Number: 630-765-8000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    104,224
    MILLIONS
  • Total Number of Accounts
    4,116
    ACCOUNTS
  • Average Account Value
    $25,321,679
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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