Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Andrew Engel has been in the financial services industry since January 31, 1996. Robert Andrew Engel is a registered representative and principal with Wells Fargo Securities, LLC. Robert Andrew Engel is registered in 52 states and the District of Columbia. Robert Andrew Engel is also a Series 7, Series 24, Series 10, Series 14, and Series 63 licensed professional.
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.
1
2
NC
06/10/2005 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NY
06/29/1999 - 05/11/2005
GLEACHER PARTNERS LLC (NEW YORK NY)
NY
12/04/1997 - 06/29/1999
NATWEST FINANCE INC. (NEW YORK NY)
NY
04/04/1990 - 03/04/1992
C. J. LAWRENCE INC. (NEW YORK NY)
BC
Issued 01/05/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/17/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2005
Series 7 - General Securities Representative Examination
BC
Issued 04/02/1990
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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