Last Updated: February 2026 — Glen Allen, VA
Here’s what you need to know about Glen Allen, VA stockbroker Kent Engelke:
- Name: Kent Eric Engelke
- Current Employer:
Capitol Securities Management, Inc., 4050 Innslake Drive, Suite 250, Glen Allen, VA 23060 (since August 22, 2008) - Prior Firms:
- Davenport & Company LLC (04/2006–08/2008)
- Anderson & Strudwick, Incorporated (11/1986–04/2006)
- A&S Capital Advisors, Inc. (06/1994–04/2005)
- Sovran Investment Corporation
- Dominick & Dominick, Incorporated
- First Investors Corporation
- Other Business Affiliations:
- KKD LLC — Richmond, VA, Managing Partner
- CRD number: 1421164
- Stockbroker / Financial Advisor. FINRA General Securities Principal and Representative; Municipal Securities Principal and Representative.
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: No
- Highest Award or Settlement: $375,000
- Current Customer Dispute Seeks Total Damages of: Damage amount not yet specified.
If you’ve sustained damages from Mr. Engelke, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kent Engelke As Your Stockbroker?
Kent E. Engelke discloses four customer disputes — three settled matters and one currently pending complaint.
Pending Complaint – December 2025
A customer of Capitol Securities Management alleges unsuitable recommendations involving certificates of deposit (CDs) and corporate debt products. The amount of alleged damages has not yet been specified.
FINRA Arbitration – Case No. 17-00150 (Settled July 2018)
A customer of Capital Securities Management alleged that Mr. Engelke invested in securities inconsistent with the trust’s objectives and failed to properly advise trustees regarding assets held in the account. The products involved included corporate debt, listed equities, and real estate securities. The matter was settled for $375,000.
2020 Complaint
A verbal complaint alleged unsuitable recommendations and over-concentrated positions in high-risk investments, including non-investment-grade bonds. The matter was settled for $168,000, with an individual contribution of $109,200 by Mr. Engelke.
2001 Complaint
A customer alleged unsuitable recommendations and that instructions were taken from an unauthorized third party in connection with OTC equity securities purchased in 1996. The matter settled for $55,000, fully paid by Mr. Engelke.
Allegations of unsuitable recommendations implicate FINRA Rule 2111 (Suitability), which requires brokers to have a reasonable basis for believing a recommendation aligns with a customer’s investment profile, objectives, and risk tolerance.
Allegations of Broker Misconduct Against Kent E. Engelke
- Unsuitability
- Over-Concentration in High-Risk Investments
- Failure to Follow Client Objectives
- Taking Instructions from an Unauthorized Third-Party
- Breach of Fiduciary Duty
Recover Your Investment Losses From Kent Engelke Now With Rex Securities Law
If you have suffered investment losses in an account handled by Kent Eric Engelke, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
Questions about how your account has been handled? Call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.
Nationwide Representation