Matthew D. 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.
Matthew David Engel was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2019. Matthew had worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2019 - December 3, 2019
AVENDUS CAPITAL, 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 79TO
Date: 4/1/2019
Investment Banking Registered Representative ExaminationCurrent Firm
AVENDUS CAPITAL, INC.
CRD#: 150160 / SEC#: , 8-68226
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1997 REDDY FAMILY TRUST | SHAREHOLDER | |
| CHADHA, JASWINDER SINGH | SHAREHOLDER | 6668336 |
| DUGGAL, ANURADHA | SHAREHOLDER | 6668334 |
| GKP REDDI GST TRUST | SHAREHOLDER | |
| AVENDUS CAPITAL PRIVATE LTD. | OWNER | |
| BEATON, DANIEL STEWART | FINOP/CFO | 4240769 |
| REDDI, ASHWINI P | TRUSTEE, GKP REDDI GST TRUST | 6675629 |
| REDDI, SASHI P | TRUSTEE, GKP REDDI GST TRUST | 6675626 |
| REDDY, GEEREDDY | TRUSTEE, 1997 READDY FAMILY TRUST | 6675639 |
| REDDY, NEERAJA | TRUSTEE, 1997 READDY FAMILY TRUST | 6678900 |
| SHIVAM, PUNEET | PRINCIPAL | 5663247 |
| THORNTON, STEVEN LEE | EXECUTIVE REPRESENTATIVE, CCO, AMLCO AND FINOP/PFO | 4496384 |
Red Flags
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