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KENT RICHARD ENGEL
K Richard Engel
CRD#: 7046598
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 6455 SOUTH YOSEMITE STREET
SUITE 425
GREENWOOD VILLAGE, CO 80111
SUITE 425
GREENWOOD VILLAGE, CO 80111
0
Disclosures
5
Years of Experience
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State Registrations
B
Colorado 11/14/2023
IA
North Carolina 5/21/2024
IA
Colorado 2/15/2024
B
Texas 3/7/2024
B
North Carolina 5/21/2024
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Texas 3/7/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 2/15/2024
B
Registered with this firm since 11/14/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/22/2021 - 06/21/2023 | DENVER, CO | |
IA | 07/21/2020 - 01/04/2021 | DENVER, CO | |
B | 06/24/2020 - 01/04/2021 | DENVER, CO | |
B | 05/13/2019 - 06/04/2020 | DENVER, CO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.