Michael Engel
Professional Summary
Michael Engel is a registered financial advisor currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina. Michael is registered as a RR (Registered Representative) and started their career in finance in 2020. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC
Contact Information
Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609Phone Number
(919) 870-6822Established
North Carolina since 11/21/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | — |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP/PFO/POO | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| LEDDY, ANN | CHIEF COMPLIANCE OFFICER | 5024384 |
| ROLAND, RAYMOND SCOTT | SENIOR MANAGER, FINANCE/FINOP | 4267751 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2020About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2020About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Engel's CRS (Customer Relationship Summary).
