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Detailed Report
Sally N Engels
SALLY ANN ENGELS, Sally Novak Engels, SALLY NOVAK
CRD#: 1371164
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 4500 P G A BLVD SUITE 202
PALM BEACH GARDENS, FL 33418
Registration History
1985199019952000200520102015202020252 FIRMS2002 - 2004 (2 years)2 FIRMS2005 - 2019 (14 years)2 FIRMS2020 - Present (5 years)BGOLDMAN, SACHS & CO. (CRD# 361)1990 - 2001 (10 years)BSMITH NEW COURT, CARL MARKS INC. (CRD# 10510)1986 - 1989 (2 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1985 - 1986 (<1 year)
License(s)

State Registrations

B
Alaska 6/29/2022
B
North Carolina 5/15/2020
B
Colorado 12/6/2021
B
North Dakota 5/26/2023
B
Florida 3/20/2020
B
Pennsylvania 8/7/2020
IA
Florida 3/23/2020
B
South Carolina 2/23/2024
B
Georgia 1/27/2023
B
Tennessee 2/8/2022
B
Illinois 12/6/2021
B
Texas 5/7/2020
B
Indiana 5/7/2020
IA
Texas 5/11/2020
B
Louisiana 4/10/2024
B
Wisconsin 1/30/2024
B
Massachusetts 2/10/2025

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
4500 P G A BLVD SUITE 202, PALM BEACH GARDENS, FL 33418
Registered with this firm since 3/23/2020
B
EDWARD JONES (CRD#:250)
4500 P G A BLVD SUITE 202, PALM BEACH GARDENS, FL 33418
Registered with this firm since 3/20/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/25/2005 - 12/31/2019 PRINCIPAL SECURITIES, INC. (CRD#:1137) MIRAMAR, FL
B
 03/07/2005 - 12/31/2019 PRINCIPAL SECURITIES, INC. (CRD#:1137) MIRAMAR, FL
IA
 04/10/2002 - 10/14/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
 03/01/2002 - 10/14/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 10/19/1990 - 05/23/2001 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
B
 10/31/1986 - 05/13/1989 SMITH NEW COURT, CARL MARKS INC. (CRD#:10510)
B
 11/19/1985 - 10/02/1986 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.