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Robert William Engel

Moody Securities, LLC

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About Robert William Engel

Robert William Engel is a financial professional with over 15 years of experience in the industry. Robert is currently registered with Moody Securities, LLC and holds the Series 7, 24, 27, 62, 79TO, 22TO and 99TO licenses. Robert has held previous roles at D.H. Hill Securities LLP. Robert is a licensed securities professional in Texas.

Firm Information

Robert Engel is currently registered with Moody Securities, LLC. Moody Securities, LLC, is a Limited Liability Company that was formed in 2007-09-21. The firm is registered with the SEC and is also registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

7

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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Robert Engel’s Registration & Firm History

TX

01/08/2009 - Present

Moody Securities, LLC (HOUSTON TX)

TX

11/09/2007 - 10/31/2008

D.H. HILL SECURITIES LLP (KINGWOOD TX)

TX

06/10/2004 - 06/21/2005

D.H. HILL SECURITIES LLP (KINGWOOD TX)

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Licenses & Designations

BC

Issued 01/31/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/27/2007

Series 24 - General Securities Principal Examination

BC

Issued 11/08/2007

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 01/02/2023

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/11/2007

Series 7 - General Securities Representative Examination

BC

Issued 06/09/2004

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert William Engel.
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