Joseph A. Engerman
Professional summary
Joseph Alphonso Engerman JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Joseph had worked at 7 firms, which includes FINANCIAL WORLD CORPORATION, R.M. STARK & CO. INC., EMMETT A LARKIN COMPANY INC., J.P. TURNER & COMPANY L.L.C., SUNPOINT SECURITIES INC., THE INVESTMENT CENTER INC., AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2001 - August 14, 2001
FINANCIAL WORLD CORPORATION
February 2, 2001 - March 2, 2001
R.M. STARK & CO., INC.
December 15, 2000 - January 9, 2001
EMMETT A LARKIN COMPANY, INC.
January 4, 2000 - January 19, 2001
J.P. TURNER & COMPANY, L.L.C.
March 16, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
May 26, 1998 - February 9, 1999
THE INVESTMENT CENTER, INC.
May 9, 1997 - June 6, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WORLD CORPORATION
CRD#: 41377 / SEC#: , 8-49397
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERVERT, BRADLEY ALLAN | CHIEF EXECTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 2563245 |
| HANSON, SHERRY CONSTANCE | COMMON SHAREHOLDER | |
| THE HEDGE FUND, LLC | COMMON SHAREHOLDER | |
| BAHM, DARIN KEITH | COMMON SHAREHOLDER | 2850903 |
| BELL, WILLIAM KENNETH JR | REGISTERED REPRESENTATIVE | |
| BLUNT, MICHAEL EUGENE | BRANCH MANAGER | 2778238 |
| ORENSTEIN, HEYWOOD SETH | PRESIDENT | 2755281 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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