Robert W. Engel
Professional summary
Robert William Engel is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert William Engel's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2009 - Present
MOODY SECURITIES, LLC
Office #1: 9655 Katy Freeway Suite 600, Houston, TX 77024November 9, 2007 - October 31, 2008
D.H. HILL SECURITIES, LLLP
June 10, 2004 - June 21, 2005
D.H. HILL SECURITIES, LLLP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2009)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
MOODY SECURITIES, LLC
CRD#: 148771 / SEC#: , 8-68069
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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