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ME

Michael B. Engelman

Some features on this profile are disabled
CRD#: 201202
ME

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Bruce Engelman was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1969. 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 17, 2024 - August 9, 2024

WESTWIND CAPITAL

RIA
CRD#: 106802
LAS CRUCES, NM
Past

November 20, 2019 - May 29, 2024

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
LAS CRUCES, NM
Past

December 3, 2008 - December 31, 2016

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
LAS CRUCES, NM
Past

May 21, 2008 - May 29, 2024

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LAS CRUCES, NM
Past

July 6, 1999 - June 24, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
SCOTTSDALE, AZ
Past

February 23, 1999 - March 17, 1999

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

July 1, 1998 - March 8, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

January 7, 1980 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

September 26, 1978 - January 31, 1980

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

November 22, 1977 - November 19, 1983

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 3, 1977 - September 26, 1978

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802
Past

November 6, 1972 - November 22, 1977

FAULKNER, DAWKINS & SULLIVAN INC.

BD
CRD#: 1790
Past

October 28, 1971 - November 24, 1972

SHEARSON, HAMMILL & CO., INCORPORATED

BD
CRD#: 766
Past

April 22, 1969 - November 4, 1971

F I DUPONT GLORE FORGAN & CO

BD
CRD#: 1000001

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".
WC
WESTWIND CAPITAL
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES

CRD#: 106802 / SEC#: 801-43661

RIA
Registered Investment Advisory firm - (4/7/1993 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/14/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 1/15/1980
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 4/18/1969
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 4/18/1969
Registered Representative Examination

Current Firm

WC
WESTWIND CAPITAL
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES

CRD#: 106802 / SEC#: 801-43661

RIA
Registered Investment Advisory firm - (4/7/1993 Approved)
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Contact information

Main Address
1800 S. Telshor, Las Cruces, NM 88011
Mailing Address
Phone number
(575) 556-8500
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (10 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2026 WESTWIND CAPITAL ADV PART 2A (1/15/2026)

Regulatory assets under management

Total Number of Accounts2,131
AUM (Assets Under Management)$ 795,933,599

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/31/2023
Cover Page
Report

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.

Company Information

WESTWIND CAPITAL

CRD#: 106802

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Contact information

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