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ME

Michael Engel

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CRD#: 7175985
ME

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.

Michael Engel was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2020. Michael had worked at 4 firms and has passed the Series 66, SIE, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 2025 - September 16, 2025

ARES MANAGEMENT CAPITAL MARKETS LLC

BD
CRD#: 166219
LOS ANGELES, CA
Past

September 8, 2022 - September 16, 2025

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
Los Angeles, CA
Past

April 13, 2021 - July 20, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
SANTA MONICA, CA
Past

February 19, 2020 - February 2, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BEVERLY HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/2/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/13/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/8/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/13/2020
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/2/2020
General Securities Sales Supervisor - Options Module Examination

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219

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