Franz S. Amussen

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CRD#: 1403347

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.

Franz Salzner Amussen, who also goes by Franz Salzuer Amussen, was a registered financial professional .

Franz is a previously registered financial professional and started their career in finance in 1985. Franz had worked at 5 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Franz Salzuer Amussen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 1, 2009 - January 13, 2026

IRON GATE GLOBAL ADVISORS

RIA

CRD#: 111177

NORTH SALT LAKE, UT

Past

April 19, 1993 - December 10, 1999

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

September 4, 1990 - April 22, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 26, 1990 - September 4, 1990

BOETTCHER & COMPANY, INC.

CRD#: 101

Past

September 25, 1985 - March 21, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IRON GATE GLOBAL ADVISORS

AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED | IRON GATE GLOBAL ADVISORS, LLC | IRON GATE GLOBAL ADVISORS | AMUSSEN, HUNSAKER & ASSOCIATES, LLC

CRD#: 111177 / SEC#: 801-110310

RIA

Registered Investment Advisory firm - (4/19/2017 Approved)

California

Registered Investment Advisory firm - (6/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2017 Terminated)

Utah

Registered Investment Advisory firm - (5/8/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 11/6/1986

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 8/15/1986

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 11/4/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Current Firm

IRON GATE GLOBAL ADVISORS

AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED | IRON GATE GLOBAL ADVISORS, LLC | IRON GATE GLOBAL ADVISORS | AMUSSEN, HUNSAKER & ASSOCIATES, LLC

CRD#: 111177 / SEC#: 801-110310

RIA

Registered Investment Advisory firm - (4/19/2017 Approved)

California

Registered Investment Advisory firm - (6/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2017 Terminated)

Utah

Registered Investment Advisory firm - (5/8/2017 Terminated)

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Contact information

Main Address

960 North 400 East, North Salt Lake, UT 84054

Mailing Address

Phone number

(888) 591-0334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRON GATE GLOBAL ADVISORS (5/1/2025)

Regulatory assets under management

Total Number of Accounts	2,925
AUM (Assets Under Management)	$ 1,059,413,573

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/07/2025	Cover Page	Report
09/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Franz S. Amussen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IRON GATE GLOBAL ADVISORS

PIPER SANDLER & CO.

WELLS FARGO CLEARING SERVICES, LLC

BOETTCHER & COMPANY, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

IRON GATE GLOBAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/1996

Series 63

Date: 9/30/1985

Series 5

Date: 11/6/1986

Series 15

Date: 8/15/1986

Series 3

Date: 11/4/1985

Series 7

Date: 9/21/1985

Current Firm

IRON GATE GLOBAL ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

IRON GATE GLOBAL ADVISORS

TRUST BUT VERIFY

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