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JH

Joerg Hagenbuch

Some features on this profile are disabled
CRD#: 2924349
JH

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.

Joerg Hagenbuch was a registered financial professional .

Joerg is a previously registered financial professional and started their career in finance in 1997. Joerg had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 6, 2013 - December 11, 2015

LAMPE CAPITAL NORTH AMERICA LLC

BD
CRD#: 160477
NEW YORK, NY
Past

June 29, 2011 - May 15, 2013

VONTOBEL SECURITIES LTD.

BD
CRD#: 21368
NEW YORK, NY
Past

April 9, 2010 - March 11, 2011

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

December 10, 2003 - March 23, 2010

SAL. OPPENHEIM JR. & CIE. SECURITIES INC.

BD
CRD#: 23449
NEW YORK, NY
Past

August 5, 2002 - November 12, 2003

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

August 14, 1997 - August 7, 2002

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 10/11/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/5/2004
General Securities Principal Examination

Current Firm

LC
LAMPE CAPITAL NORTH AMERICA LLC
INTERNATIONAL KBR FINANCE LLC | LAMPE CAPITAL NORTH AMERICA LLC

CRD#: 160477 / SEC#: , 8-69034

BD
Terminated by SEC on 03/24/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAMPE VERWALTUNGS-GMBHOWNER
HALLGREN, PER ANDERS CHRISTERCEO5229632
IGNALL, EVAN TODDCCO2039007
MATTERA, RICHARD JOSEPHFINOP2246513

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.

Company Information

LAMPE CAPITAL NORTH AMERICA LLC

CRD#: 160477

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