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JE

Jeffrey B. Engel

CEROS FINANCIAL SERVICES
New York, NY
Some features on this profile are disabled
CRD#: 1155127
JE

Professional summary

Jeffrey B Engel is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1997. Jeffrey has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey B Engel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 24, 2020 - Present

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
New York, NY
Past

December 1, 2016 - August 7, 2018

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

June 28, 2013 - November 18, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

July 2, 2012 - June 28, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
GREENWICH, CT
Past

January 3, 2011 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

September 6, 2006 - January 3, 2011

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

January 14, 2005 - September 13, 2006

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 28, 2003 - January 18, 2005

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

April 9, 1997 - February 9, 2000

ICBC STANDARD SECURITIES INC.

BD
CRD#: 35560
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/24/2020)
RR
Connecticut
(7/24/2020)
RR
Florida
(7/24/2020)
RR
Georgia
(7/24/2020)
RR
Massachusetts
(7/24/2020)
RR
Michigan
(7/24/2020)
RR
Minnesota
(7/24/2020)
RR
Montana
(12/26/2024)
RR
New Jersey
(7/24/2020)
RR
New York
(7/24/2020)
RR
Ohio
(7/24/2020)
RR
Pennsylvania
(7/24/2020)
RR
Texas
(7/28/2021)
RR
Utah
(12/26/2024)
RR
Vermont
(7/28/2021)
RR
Wisconsin
(7/24/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/24/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869New York, NY

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