Gary L. 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.
Gary Laurence Engel was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1972. Gary had worked at 4 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1989 - August 27, 1993
DEUTSCHE IXE, LLC
March 4, 1988 - May 23, 1989
SMITH NEW COURT, INC.
May 1, 1979 - March 16, 1988
CARL MARKS & CO., INC.
June 21, 1972 - June 7, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/15/1972
Registered Representative ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 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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