James A. Engle

JOHN W. BRISTOL & CO.

NEW YORK, NY 10005

Some features on this profile are disabled

CRD#: 1162041

Professional summary

James Allyn Engle, who also goes by James Engle, is a registered financial advisor currently at JOHN W. BRISTOL & CO., INC. located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Engle

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) - RIA

Click below to view James Allyn Engle'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

November 11, 2019 - Present

JOHN W. BRISTOL & CO., INC.

Office #1: 48 Wall Street 18th Floor, New York, NY, 10005

RIA

CRD#: 105597

NEW YORK, NY

Past

January 23, 1984 - March 16, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JOHN W. BRISTOL & CO., INC.

BRISTOL JOHN W & CO INC | JOHN W. BRISTOL & CO., INC.

CRD#: 105597 / SEC#: 801-13942

RIA

Registered Investment Advisory firm - (6/30/1978 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/11/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/5/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Current Firm

JOHN W. BRISTOL & CO., INC.

BRISTOL JOHN W & CO INC | JOHN W. BRISTOL & CO., INC.

CRD#: 105597 / SEC#: 801-13942

RIA

Registered Investment Advisory firm - (6/30/1978 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

48 Wall Street 18th Floor, New York, NY 10005-2924

Mailing Address

Phone number

(212) 389-5880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 6,716,574,477

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Engle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allyn Engle's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN W. BRISTOL & CO., INC.

PERSHING LLC

Primary Firm SEC Registration

JOHN W. BRISTOL & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1991

Series 63

Date: 6/27/1984

Series 7

Date: 1/21/1984

Current Firm

JOHN W. BRISTOL & CO., INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHN W. BRISTOL & CO., INC.

TRUST BUT VERIFY

Similar Advisors