Unclaimed Profile

James A Engelken

SWAN GLOBAL INVESTMENTS, LLC·DURANGO, Colorado

Series 7, Series 31, Series 65, Series 66Clean record18 years registeredSWAN GLOBAL INVESTMENTS, LLC

1099 MAIN AVE, DURANGO, CO 81301CRD# 5409511Firm CRD# 114669

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James A Engelken · DURANGO, CO

Registration

CRD #5409511 · SWAN GLOBAL INVESTMENTS, LLC · 18 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SWAN GLOBAL INVESTMENTS, LLC

SWAN GLOBAL INVESTMENTS, LLC

Nov 2011 – Aug 2018

DURANGO, CO

MORGAN STANLEY & CO., INCORPORATED

Nov 2007 – Mar 2008

DURANGO, CO

Registrations & Exams

FINRA examinations passed

Series 7

Series 31

Series 65

Series 66

Registration record

First registered · November 20, 2007

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SWAN GLOBAL INVESTMENTS, LLC

CRD 114669 · SEC 801-70881

AUM

$2.1B

Regulatory assets under management

Employees

2,483 client accounts

Services offered by SWAN GLOBAL INVESTMENTS, LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at SWAN GLOBAL INVESTMENTS, LLC →

Introduction

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Frequently Asked Questions

What services does James A Engelken offer?

James A Engelken specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are James A Engelken's credentials?

James A Engelken is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James A Engelken located?

James A Engelken is based in DURANGO, Colorado, last registered with SWAN GLOBAL INVESTMENTS, LLC.

How does James A Engelken charge for services?

James A Engelken's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SWAN GLOBAL INVESTMENTS, LLC?

SWAN GLOBAL INVESTMENTS, LLC has approximately 18 employees and manages $2.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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