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Derek Michael Engler

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Madison, WICRD #4477448Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
18 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 18 states
ConnecticutDelawareFloridaIllinoisKansasMarylandMichiganMinnesotaMissouriMontanaNew JerseyOklahomaPennsylvaniaSouth CarolinaTennesseeTexasWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/1/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/8/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
8/10/2018Madison, WI
RBC CAPITAL MARKETS, LLCCurrent
8/10/2018Cross Plains, WI
MORGAN STANLEY
6/1/20098/13/2018Madison, WI
MORGAN STANLEY & CO. INCORPORATED
4/2/20076/1/2009Madison, WI
MORGAN STANLEY
9/22/20064/2/2007Madison, WI

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Derek Michael Engler has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Derek Michael Engler - Financial Advisor in Madison, WI | AdvisorFinder