Nicole A. Engel

CAZ INVESTMENTS L.P.

Houston, TX 77056

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CRD#: 6172054

Professional summary

Nicole Ann Engel, who also goes by Nicole Ann Hunau, is a registered financial advisor currently at CAZ INVESTMENTS L.P. located in Houston, Texas.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Nicole has worked at 7 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole Ann Hunau

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) - RIA

Click below to view Nicole Ann Engel'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

April 19, 2021 - Present

CAZ INVESTMENTS L.P.

Office #1: One Riverway Suite 2000, Houston, TX 77056

RIA

CRD#: 113931

Houston, TX

Past

October 25, 2019 - March 23, 2021

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Chicago, IL

Past

October 25, 2019 - March 23, 2021

HIGHTOWER SECURITIES, LLC

CRD#: 116681

CHICAGO, IL

Past

November 26, 2018 - May 2, 2019

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

April 30, 2018 - May 2, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

August 18, 2015 - February 16, 2018

LICCAR SECURITIES, LLC

CRD#: 151034

Chicago, IL

Past

April 4, 2014 - May 26, 2015

WILLIAM BLAIR

RIA

CRD#: 1252

CHICAGO, IL

Past

May 15, 2013 - May 26, 2015

WILLIAM BLAIR

CRD#: 1252

CHICAGO, 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".

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/19/2021)

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 66

Date: 11/26/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/22/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/14/2013

General Securities Representative Examination

Current Firm

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 Terminated)

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Contact information

Main Address

One Riverway Suite 2000, Houston, TX 77056

Mailing Address

Phone number

(713) 403-8250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 CAZ DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	10,613
AUM (Assets Under Management)	$ 8,653,972,299

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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Advisor Monitoring

Firm Stability Insights

Nicole A. Engel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Ann Engel's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

ASTOR INVESTMENT MANAGEMENT LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

LICCAR SECURITIES, LLC

WILLIAM BLAIR

WILLIAM BLAIR

Primary Firm SEC Registration

CAZ INVESTMENTS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/26/2018

SIE

Date: 10/1/2018

Series 3

Date: 9/22/2015

Series 7

Date: 5/14/2013

Current Firm

CAZ INVESTMENTS L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAZ INVESTMENTS L.P.

TRUST BUT VERIFY

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