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JE

John E. Engles

STRONG CAPITAL MARKETS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 1608988
JE

Professional summary

John Emmet Engles is a registered financial professional currently at STRONG CAPITAL MARKETS, LLC located in Stamford, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 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 John Emmet Engles'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

April 10, 2024 - Present

STRONG CAPITAL MARKETS, LLC

Office #1: 1266 East Main Street, Stamford, CT 06902
BD
CRD#: 314056
Stamford, CT
Past

October 29, 2014 - September 6, 2022

BLAYLOCK VAN, LLC

BD
CRD#: 145317
NEW YORK, NY
Past

March 5, 2001 - August 4, 2014

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
NEW YORK CITY, NY
Past

March 13, 1995 - February 12, 2001

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
NEW YORK, NY
Past

April 22, 1993 - February 28, 1995

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

May 10, 1991 - April 7, 1993

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

July 17, 1987 - April 22, 1991

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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
New York
(4/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/31/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/1/2004
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/12/2004
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STRONG CAPITAL MARKETS, LLC
STRONG CAPITAL MARKETS, LLC

CRD#: 314056 / SEC#: , 8-70746

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

Main Address
1266 East Main Street, Stamford, CT 06902
Mailing Address
1266 East Main Street, Stamford, CT 06902
Phone number
(475) 477-9600
Established
Delaware since 03/02/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 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#
STRONG CAPITAL HOLDINGS COMPANY, LLCSOLE MEMBER
ARMSTRONG, GORDON LAWRENCEPRESIDENT, CHIEF COMPLIANCE OFFICER2554979
COPPETO, JOHN LOUISCHIEF OPERATING OFFICER2044981
KRIEWALD, JESSICAFINOP/POO/PFO7052634

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

STRONG CAPITAL MARKETS, LLC

CRD#: 314056Stamford, CT 06902

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