RE
Robert A. Engels
SEQUOIA WEALTH MANAGEMENT
Appleton, WI
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CRD#: 1704025
RE
Professional summary
Robert Arthur Engels MR., who also goes by Robert A Engels, Robert Arthur Engels, is a registered financial advisor currently at SEQUOIA WEALTH MANAGEMENT, LLC located in Appleton, Wisconsin and LPL FINANCIAL LLC located in Appleton, Wisconsin.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert A Engels | Robert Arthur Engels
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 06/14/2004 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - SELLING LIMITED ANNUITIES AND LIFE INSURANCE. 2. 7/19/2005 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - INDEPENDENT INSURANCE AGENT SELLING FIXED INSURANCE PRODUCTS. 3. 11/29/2016 - Regency Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/21/2016 - 5 Hours Per Month/1 Hour During Securities Trading. 4. 7/30/2019 - Sequoia Financial Network - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 05/01/2016 - 20 Hours Per Month/20 Hours During Securities Trading. 5. 10/7/2020 - Sequoia Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/01/2016 - 100 Hours Per Month/75 Hours During Securities Trading - I provide investment advisory services through Sequoia Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 11/2016. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 12/23/2020 - Kloes Specialty Hardwoods LLC - Not Investment Related - E10885 Eulrich Road, Clintonville, WI 54929 - Other-LLC for owning a piece of equipment - Owner - Started 10/15/2020 - 8 Hours Per Month/4 Hours During Securities Trading - Sole member LLC for purpose of owning a piece of equipment. 7. 11/11/2025 - Custom Kiln Drying LLC - Other - LLC for owning a piece of equipment - Owner - Investment Related - Clintonville, WI - Start Date 09/15/2025 - 20 hours per month/ 15 hours during trading
CRS (Client Relationship Summary) - RIA
Click below to view Robert Arthur Engels MR.'s CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 7, 2016 - Present
SEQUOIA WEALTH MANAGEMENT, LLC
RIA
CRD#: 170543
Appleton, WI
Current
June 14, 2004 - Present
LPL FINANCIAL LLC
Office #1: 201 S Riverheath Way Ste 1400 Evergreen Building, Appleton, WI 54915-8505RIA
BD
CRD#: 6413
Appleton, WI
Past
June 14, 2004 - March 27, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
APPLETON, WI
Past
August 18, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
August 18, 1987 - June 16, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/14/2020)
RR
Illinois(6/14/2004)
IAR
Illinois(11/7/2016)
RR
Minnesota(2/16/2022)
RR
Nebraska(12/6/2013)
RR
Wisconsin(6/14/2004)
IAR
Wisconsin(11/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
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Contact information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010
Mailing Address
Phone number
(847) 310-5900
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,698 |
| AUM (Assets Under Management) | $ 514,331,206 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
