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Alexander Luing Pengelly

Alexander L. Pengelly

CAPITAL MANAGEMENT ASSOCIATES
Minneapolis, MN 55431-1120
CRD#: 6705101
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Alexander Luing Pengelly
Alexander Luing PengellyCAPITAL MANAGEMENT ASSOCIATES

Professional summary

Alexander Luing Pengelly, CFP®, who also goes by Alexander Thomas Luing, is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Alexander has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alexander Thomas Luing

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 Alexander Luing Pengelly'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

March 18, 2017 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

Office #1: 7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120
RIA
CRD#: 105010
Minneapolis, MN
Current

November 10, 2016 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120
BD
CRD#: 10579
Minneapolis, MN

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".
CM
CAPITAL MANAGEMENT ASSOCIATES INC
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA
Registered Investment Advisory firm - (1/2/1990 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
Minnesota
(3/18/2017)
IAR
Minnesota
(3/18/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/14/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT ASSOCIATES INC
CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA
Registered Investment Advisory firm - (1/2/1990 Approved)
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Contact information

Main Address
7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120
Mailing Address
Phone number
(952) 893-1200
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts932
AUM (Assets Under Management)$ 1,627,864,626

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.

Company Information

CAPITAL MANAGEMENT ASSOCIATES INC

CRD#: 105010Minneapolis, MN 55431-1120

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