Richard J. 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.
Richard John Engel, who also goes by Dick Engel, Richard J Engel, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2007 - September 6, 2012
WEALTH MANAGEMENT PARTNERS, LLC
March 16, 2004 - April 3, 2007
J.P. MORGAN SECURITIES LLC
January 9, 2004 - April 3, 2007
J.P. MORGAN SECURITIES LLC
April 15, 2003 - January 15, 2004
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - January 15, 2004
OPPENHEIMER & CO. INC.
February 9, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
December 7, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEALTH MANAGEMENT PARTNERS, LLC
CRD#: 142223 / SEC#:
Contact information
Red Flags
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