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JE

Jeffery Scott Englin

AIF®

CRD# 2797980·Registered 1996 - 2016

Previously Registered: Being a previously registered professional could mean that Jeffery 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.

Professional Summary

Jeffery Scott Englin, AIF® was a registered financial advisor. Jeffery was a previously registered financial professional and started their career in finance 1996 - 2016. Jeffery had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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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Credentials

AIF®

Accredited Investment Fiduciary

Years of Experience

30 years in the financial services industry

Current & Past Employments

INVESTORS CAPITAL CORP.·CRD# 30613

BD

Albert Lea, MN

January 4, 2016 - May 9, 2016

INTELLICENTS INVESTMENT SOLUTIONS INC·CRD# 107498

RIA

Albert Lea, MN

September 22, 2014 - January 31, 2025

LPL FINANCIAL LLC·CRD# 6413

BD

Albert Lea, MN

September 30, 2013 - December 31, 2015

KESTRA INVESTMENT SERVICES, LLC·CRD# 42046

BD

Albert Lea, MN

August 23, 2004 - October 2, 2013

THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387

BD

Minneapolis, MN

July 1, 2002 - May 8, 2003

LUTHERAN BROTHERHOOD SECURITIES CORP.·CRD# 4205

BD

Minneapolis, MN

November 23, 1999 - July 1, 2002

CUSO FINANCIAL SERVICES, L.P.·CRD# 42132

BD

San Diego, CA

March 8, 1999 - October 27, 1999

CETERA WEALTH SERVICES, LLC·CRD# 13572

BD

El Segundo, CA

April 15, 1998 - March 15, 1999

LUTHERAN BROTHERHOOD SECURITIES CORP.·CRD# 4205

BD

Minneapolis, MN

October 22, 1996 - March 17, 1997

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Current Firm

IC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD

Terminated by SEC on 01/17/2017

Contact Information

Established

Massachusetts since 07/06/1992

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)

TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

Name	Position	CRD#
INVESTORS CAPITAL HOLDINGS, LLC	OWNER	—
BRETON, BERNARD ANDRE	BD CHIEF COMPLIANCE OFFICER	2030660
OLSON, GREGORY ALAN	SECRETARY	2692482
SHELSON, MARK PAUL	TREASURER	1819252
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604

Disclosures

Regulatory Event

22

Arbitration

11

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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.

1) Name of other business: ABG Investment Services, Inc. Investment related: Yes Address: 201 E. Clark Street, Albert Lea, MN 56007 Nature of business: Investment Advisory Services Start date: 12/2015 Position/title/relationship: Education Advisor Apx number of hours per week: 160 Apx number of hours during trading hours: 140 Brief description of duties: Education advisor 2). 01/23/2015: ALLIANCE BENEFIT GROUP FINANCIAL SERVICES CORP - INV REL - 201 E CLARK STREET, ALBERT LEA, MN 56007 - EMPLOYEE BENEFITS CONSULTING - START 06/07/2004 - 15 HR/MO 1 DURING SECS TRDG HRS - CONSULTANT TO SELL, SERVICE AND SUPPORT CLIENTS/PROSPECTS OF EMPLOYEE BENEFITS CONSULTING PRACTICE.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2005About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed May 2016About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1996About the Series 6 exam

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CRS (Client Relationship Summary)

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

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JE

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