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Elizabeth Anne Engel

Icapital Markets LLC

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About Elizabeth Anne Engel

Elizabeth Anne Engel is a financial professional with over 15 years of experience in the financial services industry. Elizabeth has held positions at several prominent firms including Morgan Stanley, Deutsche Bank Securities Inc., and Oppenheimer & Close, Inc. Elizabeth is currently registered with Icapital Markets LLC and holds a Series 7, Series 66, Series 24, and Series 55 licenses. Elizabeth has a strong background in investment advisory services and is committed to providing clients with personalized financial advice.

Firm Information

Elizabeth Engel is currently registered with Icapital Markets LLC. Icapital Markets LLC is a Limited Liability Company that was formed on August 13, 2001. The company is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Icapital Markets LLC is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

219

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Elizabeth Engel’s Registration & Firm History

NY

11/30/2023 - Present

Icapital Markets LLC (NEW YORK NY)

NY

07/03/2019 - 11/30/2023

ICAPITAL SECURITIES, LLC (NEW YORK NY)

NY

11/12/2014 - 03/04/2019

MORGAN STANLEY (NEW YORK NY)

NY

06/28/2011 - 10/20/2014

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

07/02/2008 - 06/22/2011

OPPENHEIMER & CLOSE, INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/30/2015

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 07/17/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/28/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/2008

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/20/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Elizabeth Anne Engel.
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