Alec A. Engman

J. W. COLE ADVISORS

Edina, MN 55439

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CRD#: 7771407

Professional summary

Alec August Engman, who also goes by Alec Engman, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Edina, Minnesota and J.W. COLE FINANCIAL, INC. located in Lake Elmo, Minnesota.

Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Alec has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alec Engman

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.

(1) New Horizons BFS LLC; DBA; 8647 Eagle Point Blvd., Suite 1, Lake Elmo MN 55042; Investment Related; Financial Advisor/Partner; Providing financial services and advice to current and perspective clients; Start 3/1/25; 160 hours/month during trading. (2) Domino's Pizza; �783 Radio Dr, Ste 108, Woodbury, MN 55125; Not investment related; Position:� Evening Delivery Driver; Start Date:8/11/2025; 0 during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec August Engman'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®

None

Experience

Current

January 2, 2025 - Present

J. W. COLE ADVISORS, INC.

Office #1: 7400 Metro Blvd. Suite 223, Edina, MN 55439

RIA

CRD#: 112294

Edina, MN

Current

January 2, 2025 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 8647 Eagle Point Blvd Ste 1, Lake Elmo, MN 55042

CRD#: 124583

Lake Elmo, MN

Past

April 1, 2024 - December 17, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

GOLDEN VALLEY, MN

Past

April 1, 2024 - December 17, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

GOLDEN VALLEY, MN

Past

February 1, 2024 - March 21, 2024

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LAKE ELMO, MN

Past

November 18, 2023 - March 21, 2024

PRINCIPAL SECURITIES, INC.

CRD#: 1137

LAKE ELMO, 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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Minnesota
(1/2/2025)

IAR

Minnesota
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/31/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/18/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/9/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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.

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Advisor Monitoring

Firm Stability Insights

Alec A. Engman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec August Engman's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2024

Series 7TO

Date: 11/18/2023

SIE

Date: 10/9/2023

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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