Craig A. Mengeling
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.
Craig Allen Mengeling, who also goes by Craig Allan Mengeling, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1980. Craig had worked at 14 firms and has passed the Series 65, Series 63, Series 6, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2001 - June 6, 2003
WADDELL & REED
July 2, 1992 - February 6, 1997
FORESTERS EQUITY SERVICES, INC.
February 7, 1991 - December 20, 1991
LISS FINANCIAL SERVICES
July 26, 1990 - November 6, 1990
GENEVA SECURITIES,INC.
July 25, 1989 - December 31, 1989
GENEVA SECURITIES,INC.
September 20, 1988 - June 2, 1989
HARBOUR INVESTMENTS, INC.
April 8, 1988 - September 1, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
February 5, 1988 - March 21, 1988
WINDSOR EQUITY CORPORATION
March 20, 1987 - January 19, 1988
CABRERA CAPITAL MARKETS, LLC
February 12, 1986 - October 14, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 1984 - January 29, 1986
PRUDENTIAL EQUITY GROUP, LLC
April 14, 1982 - July 20, 1984
MORGAN STANLEY DW INC.
August 13, 1980 - March 15, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
August 13, 1980 - March 15, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
August 13, 1980 - March 15, 1982
IDS LIFE INSURANCE COMPANY
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
Series 1
Date: 8/6/1980
Registered Representative ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
