Richard W. Engen

GREAT PLAINS ADVISORY SERVICES

Fargo, ND

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CRD#: 2528314

Professional summary

Richard William Engen, ChFC®, CLU®, who also goes by Rick Engen, is a registered financial advisor currently at GREAT PLAINS ADVISORY SERVICES LLC located in Fargo, North Dakota and GREAT PLAINS FINANCIAL SERVICES, LLP located in Fargo, North Dakota.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Engen

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) - RIA

Click below to view Richard William Engen'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

July 3, 2024 - Present

GREAT PLAINS ADVISORY SERVICES LLC

RIA

CRD#: 331168

Fargo, ND

Current

March 22, 2023 - Present

GREAT PLAINS FINANCIAL SERVICES, LLP

CRD#: 42141

Fargo, ND

Past

March 16, 2020 - April 24, 2023

GLOBAL ASSETS ADVISORY, LLC

RIA

CRD#: 300460

FARGO, ND

Past

January 19, 2016 - August 19, 2024

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

FARGO, ND

Past

June 4, 2012 - December 31, 2015

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

FARGO, ND

Past

November 9, 2010 - April 24, 2023

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

FARGO, ND

Past

August 16, 2010 - November 8, 2010

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

FARGO, ND

Past

July 22, 2010 - November 8, 2010

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

FARGO, ND

Past

April 22, 2003 - July 23, 2010

FINTEGRA, LLC

RIA

CRD#: 16741

FARGO, ND

Past

June 5, 2000 - July 23, 2010

FINTEGRA, LLC

CRD#: 16741

FARGO, ND

Past

June 30, 1999 - June 5, 2000

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

September 16, 1996 - July 14, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 17, 1996 - July 12, 1996

VARIABLE ASSET STRATEGIES, INC.

CRD#: 37027

GREENWOOD VILLAGE, CO

Past

October 13, 1994 - April 3, 1996

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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.

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

Arizona
(3/22/2023)

District of Columbia
(2/13/2026)

Minnesota
(4/10/2023)

IAR

Minnesota
(6/2/2025)

Montana
(3/22/2023)

North Dakota
(3/22/2023)

IAR

North Dakota
(7/3/2024)

Ohio
(3/13/2026)

South Dakota
(3/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/29/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GREAT PLAINS ADVISORY SERVICES LLC

CRD#: 331168 / SEC#:

Minnesota

Registered Investment Advisory firm - (6/2/2025 Approved)

North Dakota

Registered Investment Advisory firm - (5/21/2024 Approved)

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Contact information

Main Address

6048 31st St S, Fargo, ND 58104

Mailing Address

P.o. Box 11087, Fargo, ND 58106

Phone number

(701) 271-1590

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	303
AUM (Assets Under Management)	$ 54,351,720

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.

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Advisor Monitoring

Firm Stability Insights

Richard W. Engen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard William Engen's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT PLAINS ADVISORY SERVICES LLC

GREAT PLAINS FINANCIAL SERVICES, LLP

GLOBAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

FINTEGRA, LLC

FINTEGRA, LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VARIABLE ASSET STRATEGIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/1996

Series 63

Date: 9/29/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/13/1996

Series 6

Date: 9/29/1994

Series 24

Date: 3/28/2006

FINRA

Current Firm

GREAT PLAINS ADVISORY SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GREAT PLAINS ADVISORY SERVICES LLC

TRUST BUT VERIFY

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