Robert William Engel
Professional Summary
Robert William Engel is a registered financial advisor currently at MOODY SECURITIES, LLC located in Houston, Texas. Robert is registered as a RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 2 firms and has passed the Series 63, Series 79TO, Series 22TO, Series 62, Series 99TO, SIE, Series 7, Series 22, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
MOODY SECURITIES, LLC
Contact Information
Main Address
9655 Katy Freeway Suite 600, Houston, TX 77024Mailing Address
9655 Katy Freeway Suite 600, Houston, TX 77024Phone Number
(713) 977-7500Established
Delaware since 09/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/9/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 22 — Direct Participation Programs Representative Examination
Passed Jun 2004About the Series 22 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert William Engel's CRS (Customer Relationship Summary).
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