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GE

Geoffrey E. Engel

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CRD#: 2763584
GE

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.

Geoffrey Egan Engel was a registered financial professional .

Geoffrey is a previously registered financial professional and started their career in finance in 1996. Geoffrey had worked at 6 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.

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)

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

July 12, 2016 - April 24, 2017

AVATAR SECURITIES, LLC

BD
CRD#: 147763
NEW YORK, NY
Past

June 6, 2012 - November 29, 2012

AGILE PT GROUP LLC

BD
CRD#: 155177
NEW YORK, NY
Past

October 25, 2011 - December 22, 2011

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

February 18, 2010 - October 21, 2011

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

November 9, 2001 - November 9, 2004

AUDOBON SECURITIES, INC.

BD
CRD#: 25156
NEW YORK, NY
Past

November 9, 2001 - April 28, 2005

HIGHBRIDGE CAPITAL CORPORATION

BD
CRD#: 30208
GRAND CAYMAN,
Past

August 21, 1996 - November 13, 1998

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY

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
Series 63
Date: 12/3/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/24/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 7/12/2016
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/8/2001
General Securities Representative Examination

Current Firm

AS
AVATAR SECURITIES, LLC
AVATAR SECURITIES, LLC

CRD#: 147763 / SEC#: , 8-67932

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

Main Address
148 Madison Ave 5th Floor, New York, NY 10016
Mailing Address
148 Madison Ave 5th Floor, New York, NY 10016
Phone number
(212) 217-2800
Established
Delaware since 05/14/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AVATAR TRADING GROUP, LLCHOLDING CO.
DEETER, MISHA BODHIMEMBER5132163
BROWSKI, ANDREW CHARLESCHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER5778834
HOLLAND, RAYMOND FCO-MANAGING MEMBER5509397
KATHWARI, OMAR FAROOQCO-MANAGING MEMBER5509343
SLOAN NOWAK, JACQUELINE LEEFINOP/PRINCIPAL FINANCIAL OFFICER2717305

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

AVATAR SECURITIES, LLC

CRD#: 147763

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