James A. Engelken

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CRD#: 5409511

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.

James A Engelken was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2007. James had worked at 2 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

November 21, 2011 - August 13, 2018

SWAN GLOBAL INVESTMENTS, LLC

RIA

CRD#: 114669

DURANGO, CO

Past

November 20, 2007 - March 3, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

DURANGO, CO

Past

October 29, 2007 - March 3, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

DURANGO, CO

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".

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/5/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/19/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 12/27/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/26/2007

General Securities Representative Examination

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

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Contact information

Main Address

1099 Main Ave Suite 206, Durango, CO 81301

Mailing Address

Phone number

(970) 382-8901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWAN GLOBAL INVESTMENTS LLC ADV PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,969
AUM (Assets Under Management)	$ 2,406,792,590

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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Firm Stability Insights

James A. Engelken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWAN GLOBAL INVESTMENTS, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

SWAN GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/5/2011

Series 66

Date: 11/19/2007

Series 31

Date: 12/27/2007

Series 7

Date: 10/26/2007

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWAN GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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