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Nicole Ann Engel

Caz Investments L.P.

Houston, TX

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Current Employers
Caz Investments L.P.

1360 Post Oak Blvd. Suite 2200, Houston, TX 77056 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2021-04-19

Branch Locations

1360 Post Oak Blvd. Suite 2200, Houston, TX 77056 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ljm Partners, Ltd. Chicago IL 05/2015 02/2018
Liccar Securities, Llc Chicago IL 05/2015 02/2018
Northern Lights Distributors, Llc Omaha NE 04/2018 04/2019
Unemployed Chicago IL 02/2018 04/2018
Astor Investment Management, Llc Chicago IL 04/2018 04/2019
Hightower Securities Llc Chicago IL 10/2019 03/2021
Hightower Advisors Llc Chicago IL 10/2019 03/2021
Unemployed Chicago IL 05/2019 10/2019
Caz Investments Lp Houston TX 04/2021 Present
  • 05/2015 → 02/2018
    Ljm Partners, Ltd.
    Chicago, IL
  • 05/2015 → 02/2018
    Liccar Securities, Llc
    Chicago, IL
  • 04/2018 → 04/2019
    Northern Lights Distributors, Llc
    Omaha, NE
  • 02/2018 → 04/2018
    Unemployed
    Chicago, IL
  • 04/2018 → 04/2019
    Astor Investment Management, Llc
    Chicago, IL
  • 10/2019 → 03/2021
    Hightower Securities Llc
    Chicago, IL
  • 10/2019 → 03/2021
    Hightower Advisors Llc
    Chicago, IL
  • 05/2019 → 10/2019
    Unemployed
    Chicago, IL
  • 04/2021 → Present
    Caz Investments Lp
    Houston, TX
Previous Registrations
  • 2019-10-25 → 2021-03-23
    Hightower Advisors, Llc
    Chicago, IL
  • 2018-11-26 → 2019-05-02
    Astor Investment Management Llc
    Chicago, IL
  • 2014-04-04 → 2015-05-26
    William Blair
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-26
  • S66 Uniform Combined State Law Examination
    2018-11-26
Other Names
  • Nicole Ann Hunau

View on SEC IAPD

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Other Investors

John Charles Robinson
CRYSTAL ALLISON MCKEON
AUSTIN GENTRY MARRS
JONATHAN HARRISON SWANBURG
WILLIAM THOMAS PAYNE
JON CARTER VAUGHAN
GREGORY JAMES KALLUS
Philip Chukwuezugo Onochie

Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

More in Houston, TX

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