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CE

Christopher E. Engel

Some features on this profile are disabled
CRD#: 1495822
CE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Christopher E Engel, who also goes by Christopher Engel, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 8 firms and has passed the Series 63, Series 22TO, Series 7TO, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Engel

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 24, 2022 - September 25, 2025

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

September 4, 2019 - October 21, 2020

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
NEW YORK, NY
Past

August 24, 2015 - September 1, 2017

MARTEL CAPITAL, LLC

BD
CRD#: 159049
New York, NY
Past

June 21, 2013 - August 17, 2015

FOREFRONT CAPITAL MARKETS LLC

BD
CRD#: 151812
NEW YORK, NY
Past

December 19, 2008 - February 28, 2013

STOCK SECURITIES LLC

BD
CRD#: 32244
PRINCETON, NJ
Past

May 12, 2006 - June 29, 2007

MONROE CAPITAL, LLC

BD
CRD#: 45005
NEW YORK, NY
Past

January 16, 2004 - February 9, 2009

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

July 19, 2002 - June 1, 2006

CLIFDEN EQUITIES, LLC

BD
CRD#: 38278
ST. JOHN,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 1/14/2002
Direct Participation Programs Representative Examination

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

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

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (22 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#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

Disclosures

Regulatory Event1

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

BRADLEY WOODS & CO. LTD.

CRD#: 13660

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