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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

SAMUEL JAMES WILLIS

Advisor at FIRST TRUST ADVISORS LP

FRANKLIN, TN | WHEATON, IL

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Search this name across graphsid dfx:ria:6217b9a2-30ea-c5a7-1745-bdde99d97656

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIRST TRUST ADVISORS LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 8, 2005
First registration: Jun 16, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5006651

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIRST TRUST ADVISORS LP	Asset manager	Jun 29, 2012	n/a	yes	FRANKLIN, TN\|WHEATON, IL	Current employment
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Sep 1, 2011	Jul 6, 2012	no	CHICAGO, IL	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	Jul 13, 2007	Sep 1, 2011	no	CHICAGO, IL	Previous registration
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	Jun 16, 2006	May 14, 2007	no	MENOMONEE FALLS, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NUVEEN ASSET MANAGEMENT, LLC	FIRST TRUST ADVISORS LP	Jul 6, 2012	Jun 29, 2012	-7	Firm change	Other
NUVEEN FUND ADVISORS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Sep 1, 2011	Sep 1, 2011	0	Bulk transfer	Other
ALLSPRING FUNDS MANAGEMENT, LLC	NUVEEN FUND ADVISORS, LLC	May 14, 2007	Jul 13, 2007	60	Firm change	Other

Relationships

Registered with (4)

→ FIRST TRUST ADVISORS LPRegistered adviserregistration: current employment
Jun 29, 2012 to presentfactForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 1, 2011 to Jul 6, 2012factForm ADV
→ NUVEEN FUND ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 13, 2007 to Sep 1, 2011factForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 16, 2006 to May 14, 2007factForm ADV

Dated events

No dated event names this entity yet.