Angela J. Mengelkoch
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.
Angela Jean Mengelkoch was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 1997. Angela had worked at 4 firms and has passed the SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - December 31, 2020
NUVEEN SECURITIES, LLC
November 18, 2010 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
April 6, 1998 - August 18, 1998
RBC CAPITAL MARKETS, LLC
November 28, 1997 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
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 62
Date: 11/26/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
