Michael W. Engmann
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 Wayne Engmann was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1972. Michael had worked at 4 firms and has passed the Series 66, Series 55, Series 3, Series 1, Series 8, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2009 - April 11, 2012
SAGETRADER, LLC
January 11, 2007 - April 11, 2012
SAGETRADER, LLC
May 23, 2006 - September 19, 2012
VTRADER PRO, LLC
April 25, 1983 - June 30, 2005
PREFERREDTRADE, INC.
July 11, 1972 - April 12, 1976
SUTRO & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/20/2003
Limited Representative-Equity Trader ExamSeries 1
Date: 6/29/1972
Registered Representative ExaminationSeries 8
Date: 4/14/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SAGETRADER, LLC
CRD#: 137862 / SEC#: , 8-67169
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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