Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has opened an independent investigation into Kent Engelke (CRD# 1421164), a financial advisor based in Glen Allen, Virginia, affiliated with Capitol Securities Management. If you are considering investing with Mr. Engelke, or are a current or past client, it is essential to have a thorough understanding of his history, experience, and any reported red flags. Investor protection and transparency are our highest priorities, so we have compiled a detailed review below.
Overview of Kent Engelke’s Background
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- Location: Glen Allen, Virginia
- Broker-Dealer: Capitol Securities Management
- CRD Number: 1421164
- Industry Experience: 40 years
- States Registered: 18
- Passing Exams: SIE, Series 65, Series 63, Series 52TO, Series 53, Series 7, Series 6, Series 24
- Prior Firms: Davenport & Company, Anderson & Strudwick, A&S Capital Advisors, Sovran Investment Corporation, Dominick & Dominick
Mr. Engelke is currently registered as both a broker and investment advisor with Capitol Securities Management since 2008. With a career spanning four decades, his professional credentials reflect extensive qualification exams and a wide-ranging state licensure footprint.
Complete List of Reported Complaints
Before engaging with a financial advisor, it is critical for investors to review any past or pending customer complaints. Below is a comprehensive summary of the disclosed complaints involving Kent Engelke, compiled from credible regulatory records as of January 24, 2026.
| Year Filed | Firm | Allegations | Status/Outcome | Amount |
|---|---|---|---|---|
| 2025 (December) | Capitol Securities Management | Recommended unsuitable CD and corporate bond investments | Pending | Unspecified |
| 2020 | Capitol Securities Management | Unsuitable investment recommendations and account over-concentration in high-risk investments | Settled | $168,000 |
| 2016 | Capitol Securities Management | Investments not in line with trust objectives; inadequate advice to trustees | Settled (2018) | $375,000 |
| 2001 | Anderson & Strudwick | Unsuitable recommendations; took direction from an unauthorized third party | Settled | $55,000 |
Key Takeaways:
- Multiple complaints allege unsuitable investment recommendations, a critical concern for investors whose portfolios may not have matched their risk tolerance or financial goals.
- Settlements are significant, including $375,000 and $168,000, revealing sizable claims and potential customer losses.
- The most recent complaint from December 2025 is still pending resolution and alleges unsuitable CD and bond investments.
How to Research Kent Engelke’s Regulatory Profile
For any investor wanting to do their own due diligence, reviewing Mr. Engelke’s regulatory record is recommended. Visit FINRA BrokerCheck and search using his CRD# 1421164. BrokerCheck provides detailed disclosure on complaints, arbitrations, regulatory sanctions, and employment history for registered financial advisors.
Key Red Flags for Investors
Understanding how complaints and regulatory disclosures can affect your investments is important. Here are some potential warning signs based on Mr. Engelke’s record:
- Pattern of Complaint Allegations: Repeated claims regarding unsuitable recommendations suggest a need for careful examination before making financial decisions with this advisor.
- Significant Settlement Amounts: Multiple six-figure settlements may warrant further inquiry by investors, especially if your investment needs are conservative or require strict suitability standards.
- Pending Customer Complaint: Ongoing dispute from 2025 could lead to investigative findings, industry sanctions, or additional restitution for affected investors.
Haselkorn & Thibaut’s Ongoing Investigation
In light of the above history, Haselkorn & Thibaut has opened an investigation into the advice, transactions, and oversight of Kent Engelke at Capitol Securities Management. Our goal is to help investors who have suffered losses understand their rights and potential avenues for recovery. Our law firm has over 50 years of combined securities law experience, a 98% success rate, and has recovered millions of dollars on behalf of investors nationwide. We operate on a no recovery, no fee basis.
Your Next Steps: Free, Confidential Consultation
If you or a loved one experienced unexpected losses or suspect that your investments with Kent Engelke or Capitol Securities Management were unsuitable for your financial situation, take action now. We invite you to contact Haselkorn & Thibaut for a free, no-obligation consultation. Our attorneys will review your account history, provide a confidential assessment, and help you understand your legal options—at no cost unless we recover for you.
Call Haselkorn & Thibaut at 1-888-885-7162.
Your financial peace of mind is our top priority. Don’t wait until the complaint is resolved or your window for action closes. Protect your investments—reach out to Haselkorn & Thibaut today for experienced legal help and dedicated investor advocacy.
