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JE

John L. Engels

Some features on this profile are disabled
CRD#: 1613307
JE

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.

John Letteau Engels III, who also goes by John Letteau Engels, John Engels III, Josh Engels III, Josh Engels, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Letteau Engels | John Engels Iii | Josh Engels Iii | Josh Engels

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

January 9, 2014 - May 13, 2015

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

May 18, 2011 - December 5, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOULDER, CO
Past

April 18, 2011 - December 5, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
BOULDER, CO
Past

March 5, 2007 - April 5, 2011

JANCO PARTNERS, INC.

BD
CRD#: 40055
GREENWOOD VILLAGE, CO
Past

August 6, 2004 - October 14, 2005

UPHOLD SECURITIES INC.

BD
CRD#: 34071
NEW YORK, NY
Past

May 29, 2002 - August 20, 2003

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

March 6, 2002 - May 27, 2002

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

October 1, 1997 - November 12, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 26, 1997 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

July 25, 1995 - August 27, 1996

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

June 3, 1987 - January 13, 1993

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

March 24, 1987 - June 24, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

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
IAR
Series 66
Date: 5/16/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/13/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/28/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/5/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2003
General Securities Principal 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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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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