Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Louis Engel is an active broker-dealer with over 20 years of experience in the financial services industry. James is currently registered with BGC Financial, LP, and is licensed in multiple states. His career spans several prominent firms in the financial services sector. James holds Series 6, 7, 10, 24, 55, 57TO, and SIE licenses. His background includes roles at GFI Securities LLC, PPG West LLC, Phoenix Derivatives Group, LLC, Independent Brokers LLC, GRW Capital Corporation, Peconic Securities LLC, Garban Corporates LLC, Intercapital International Inc., and Gabelli & Company, Inc.
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.
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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2
NJ
05/25/2016 - Present
BGC Financial, LP (SHREWSBURY NJ)
NY
05/08/2013 - 05/25/2016
GFI SECURITIES LLC (NEW YORK NY)
NY
04/25/2012 - 05/17/2013
PPG WEST LLC (NEW YORK NY)
NY
02/24/2006 - 05/17/2013
PHOENIX DERIVATIVES GROUP, LLC (NEW YORK NY)
NY
11/16/2005 - 02/16/2006
INDEPENDENT BROKERS LLC (WOODBURY NY)
NY
11/02/2004 - 12/06/2005
GRW CAPITAL CORPORATION (NEW YORK NY)
NY
04/04/2003 - 11/03/2004
PECONIC SECURITIES LLC (NEW YORK NY)
NY
03/02/2000 - 02/03/2003
GARBAN CORPORATES LLC (NEW YORK NY)
NY
02/15/2000 - 09/20/2000
INTERCAPITAL INTERNATIONAL INC. (NEW YORK NY)
NY
10/22/1998 - 02/09/2000
GABELLI & COMPANY, INC. (RYE NY)
BC
Issued 07/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/12/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/03/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/25/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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