ENGLEBERT FINANCIAL ADVISERS, LLC of ALLENTOWN, PA is an SEC-registered investment adviser (CRD 300568). Regulatory assets under management: $156.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Jamie Lyn Englebert | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Christopher Paul Englebert | FOUNDING PARTNER & CHIEF INVESTMENT OFFICER | — |
| ENGLEBERT JAMIE LYN | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| ENGLEBERT CHRISTOPHER PAUL | FOUNDING PARTNER & CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-07-15 | regulatory | FROM IN OR ABOUT JUNE 2019 UNTIL MAY 2020, ENGLEBERT FINANCIAL ADVISORS, LLC, DUE TO AN ADMINISTRATIVE ERROR, EMPLOYED AN INVESTMENT ADVISER REPRESENTATIVE WHO WAS NOT REGISTERED AS AN INVESTMENT ADVISER REPRESENTATIVE IN PA PURSUANT TO THE PENNSYLVANIA SECURITIES ACT OF 1972. | Final | $10K |