David D. Engler

OSAIC INSTITUTIONS

St. Paul, MN 55103

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CRD#: 4265904

Professional summary

David Duane Engler is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in St. Paul, Minnesota.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. 12/27/2013 - OTHER-INDEPENTENT AUTHOR AND WRITER - TIME SPENT 1% - ST PAUL, MN 2. 11/10/2014 - OTHER - COACHING CLINIC, ASSOCIATION, CLUB - COACH - Start Date 11/10/2014 - TIME SPENT 10 HOURS PER MONTH - ST PAUL, MN 3. 03/24/2016; YMCA; Other - Fitness Instructor; NOT INV REL; START DATE; 03/11/16; Group Fitness Instructor @ the YMCA; 5 HR/MO; 0 HRS DURING SECS TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Duane Engler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Duane Engler's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 26, 2024 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 111 Empire Drive, St. Paul, MN 55103Office #2: 5025 E 54th Street, Minneapolis, MN 55417Office #3: 2465 Fairview Ave N, Roseville, MN 55113Office #4: 1570 Woodlane Drive, Woodbury, MN 55125

RIA

CRD#: 35371

St. Paul, MN

Current

August 26, 2024 - Present

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

St. Paul, MN

Past

January 21, 2014 - September 13, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

ST PAUL, MN

Past

June 22, 2006 - September 13, 2024

LPL FINANCIAL LLC

CRD#: 6413

ST PAUL, MN

Past

October 23, 2000 - June 9, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CRYSTAL LAKE, IL

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".

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(9/13/2024)

Alaska
(8/26/2024)

Arizona
(8/26/2024)

California
(8/26/2024)

Colorado
(8/26/2024)

District of Columbia
(8/26/2024)

Florida
(8/26/2024)

Hawaii
(8/26/2024)

Illinois
(8/26/2024)

Iowa
(8/26/2024)

Kentucky
(8/26/2024)

Maryland
(8/26/2024)

Massachusetts
(8/26/2024)

Michigan
(8/26/2024)

Minnesota
(8/26/2024)

IAR

Minnesota
(8/26/2024)

Missouri
(8/26/2024)

Montana
(8/26/2024)

Nevada
(8/26/2024)

New Hampshire
(8/26/2024)

New York
(8/26/2024)

North Carolina
(8/26/2024)

North Dakota
(8/26/2024)

Oregon
(8/26/2024)

Pennsylvania
(8/26/2024)

South Carolina
(8/26/2024)

South Dakota
(8/26/2024)

Texas
(8/26/2024)

IAR

Texas
(8/26/2024)

Utah
(8/26/2024)

Vermont
(8/26/2024)

Virginia
(8/26/2024)

Washington
(8/26/2024)

Wisconsin
(8/26/2024)

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 66

Date: 1/17/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/5/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

630

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC INSTITUTIONS HOLDINGS, INC.	HOLDING COMPANY
AMARANTE, STEPHEN PAUL	PRESIDENT, CEO AND DIRECTOR	3165067
CORNICK, GREGORY ALLEN	DIRECTOR	3132991
HAMMOND, DORI JAMILLE	CHIEF COMPLIANCE OFFICER	3259012
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS	2627931

Regulatory assets under management

Total Number of Accounts	8,779
AUM (Assets Under Management)	$ 4,024,448,971

Disclosures

Regulatory Event

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David D. Engler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Duane Engler's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Duane Engler's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/17/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2000

Series 51

Date: 8/5/2003

Series 24

Date: 4/9/2001

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

Contact information

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