CE
Craig J. Engel
PRINCIPAL ADVISED SERVICES
Crown Point, IN
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CRD#: 6125800
CE
Professional summary
Craig J Engel, who also goes by Craig John Engel, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Crown Point, Indiana and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Craig has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig John Engel
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.
**BINARY STAR ENTERTAINMENT POSITION: Subcontractor/performer NATURE: Weekend entertainment, completely outside of the financial business INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/28/2022 ADDRESS: 1616 SUNNYSLOPE DR, CROWN POINT IN 46307-9314, United States DESCRIPTION: Private and corporate entertainment, Kids parties, festivals, trade shows. Nothing related to finacial companies. **PORTER COUNTY ELECTIONS & REGISTRATION POSITION: Elections Inspector NATURE: Elections/poll inspector INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 04/10/2024 ADDRESS: 155 Franklin St, Valparaiso IN 46383, United States DESCRIPTION: Work polls for early and regular voting, to ensure orderly balloting for all local citizens. **WEST PORTER FIRE PROTECTION DISTRICT POSITION: Board of Trustees NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2024 ADDRESS: 745 W. 275 South, Hebron IN 46341, United States DESCRIPTION: Board to create a fire district for my community and the 35 sq. mile surrounding area. I am a former Hospital Corpsman, firefighter, EMT, and of course, veteran. I am being actively recruited for this position.
CRS (Client Relationship Summary) - RIA
Click below to view Craig J Engel'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®
NoneExperience
Current
October 30, 2022 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
Crown Point, IN
Current
May 19, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
June 9, 2022 - October 30, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
June 22, 2020 - February 15, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Crown Point, IN
Past
June 22, 2020 - February 15, 2022
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Crown Point, IN
Past
November 1, 2018 - September 16, 2019
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
OAK BROOK, IL
Past
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
BD
CRD#: 269923
OAK BROOK, IL
Past
July 26, 2013 - April 22, 2016
SANDERS MORRIS LLC
BD
CRD#: 20580
OAK BROOK, IL
Past
January 1, 2013 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
RIA
CRD#: 113299
OAK BROOK, 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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)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.RR
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
RR
Indiana(5/19/2022)
IAR
Indiana(10/30/2022)
IAR
Iowa(4/5/2024)
RR
North Dakota(7/27/2022)
RR
Texas(5/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
