Gordon F. 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.
Gordon Frank Engel was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1972. Gordon had worked at 5 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2001 - January 4, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
April 6, 1981 - January 1, 2001
MJK CLEARING, INC.
April 15, 1976 - April 4, 1981
SECURITIES RESOLUTION CORPORATION
February 23, 1973 - December 19, 1979
MILLER & SCHROEDER SECURITIES, INC.
April 18, 1972 - April 8, 1973
AEI SECURITIES, INC.
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: 4/6/1972
Registered Representative ExaminationSeries 40
Date: 12/7/1978
Registered Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
Red Flags
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