Donald A. Engel
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.
Donald A Engel was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2010. Donald had worked at 1 firm and has passed the SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2010 - February 3, 2015
MORGAN JOSEPH TRIARTISAN LLC
State Registrations and Notice Filings
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Exams
Series 62
Date: 5/10/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
MORGAN JOSEPH TRIARTISAN LLC
CRD#: 10948 / SEC#: , 8-27971
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRIARTISAN HOLDINGS INC. | SOLE SHAREHOLDER | |
| BLECHER, STEVEN DONALD | VICE CHAIRMAN OF THE BOARD, SECRETARY, TREASURER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, ROSFP | 1230668 |
| FULVIO, GENNARO JOHN | CHIEF FINANCIAL OFFICER; FINOP | 2435828 |
| SORTE, JOHN FOLLETT | CEO, EXECUTIVE CHAIRMAN, DIRECTOR, AND GENERAL SECURITIES PRINCIPAL | 1042672 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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