Michael Bruce Engelman
Professional Summary
Michael Bruce Engelman was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1969 - 2024. Michael had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, PC, Series 000 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES
Contact Information
Main Address
1800 S. Telshor, Las Cruces, NM 88011Phone Number
(575) 556-8500# of Employees
10SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,131AUM (Assets Under Management)
$795,933,599Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jan 1980Series 000 — General Securities Principal Examination
Passed Apr 1969Series 1 — Registered Representative Examination
Passed Apr 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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