William A. Engle
Professional summary
William Alexander Engle, who also goes by Billy Engle, William A Engle, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
William is registered as a RR (Registered Representative) and started their career in finance in 1988. William has worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Alexander Engle's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2011 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260January 22, 2008 - August 23, 2010
CCO CAPITAL, LLC
February 6, 2006 - January 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
December 16, 2005 - January 31, 2006
PFS INVESTMENTS INC.
December 12, 2003 - February 9, 2004
QUICK & REILLY, INC.
November 14, 2002 - November 26, 2003
PFS INVESTMENTS INC.
August 24, 1995 - August 2, 2002
UBS CAPITAL MARKETS L.P.
July 12, 1993 - April 11, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
August 25, 1988 - July 19, 1993
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/4/2011)
Exams
Series 55
Date: 3/20/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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