Vicki R. Engle
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.
Vicki Ruth Engle was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 2017. Vicki had worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2017 - February 27, 2024
WEA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEA INVESTMENT SERVICES, INC.
CRD#: 126907 / SEC#: , 8-65926
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEA MEMBER BENEFIT TRUST | SHAREHOLDER | |
| BENDER, BOYD GRISWOLD | CCO | 3082505 |
| BENDER, BOYD GRISWOLD | PRESIDENT | 3082505 |
| BROWN, SUZANNE LEE | TRUSTEE/DIRECTOR | |
| DIGMAN, CAROLYN KAY | FINOP | 7125836 |
| LOR, MAIWA | TRUSTEE/DIRECTOR | 7786308 |
| MAHONEY, KATHLEEN TRUDEAU | TRUSTEE/DIRECTOR | 8120398 |
| MARTINEZ, JESSE ANDREW | TRUSTEE/DIRECTOR | 7977660 |
| OLSEN-WIRTZ, PEGGY LYNN | TRUSTEE/DIRECTOR | 7641439 |
| UGORETZ, NATHAN LAKE | TRUSTEE/DIRECTOR | 7641425 |
| WILCOX, THOMAS JON JR | TRUSTEE/DIRECTOR | 7977638 |
Red Flags
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