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AA

Amal Amin

PAULSON INVESTMENT COMPANY LLC
Chicago, IL 60631
Some features on this profile are disabled
CRD#: 3185361
AA

Professional summary

Amal Amin, who also goes by Amal S Amin, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Chicago, Illinois.

Amal is registered as a RR (Registered Representative) and started their career in finance in 2001. Amal has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amal S Amin

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) - BD

Click below to view Amal Amin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 22, 2022 - Present

PAULSON INVESTMENT COMPANY LLC

Office #1: 8770 W Bryn Mawr Av Suite 1300, Chicago, IL 60631
BD
CRD#: 5670
Chicago, IL
Past

January 1, 2001 - August 15, 2001

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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: 1/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/16/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PI
PAULSON INVESTMENT COMPANY LLC
PAULSON INVESTMENT COMPANY LLC | PAULSON WEALTH ADVISORS | PAULSON INVESTMENT COMPANY, LLC | PAULSON INVESTMENT COMPANY, INC.

CRD#: 5670 / SEC#: 801-107194, 8-26807

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
10220 Sw Greenburg Rd Suite 465, Lake Oswego, OR 97035
Mailing Address
10220 Sw Greenburg Rd Suite 380, Portland, OR 97223
Phone number
(503) 243-6000
Established
Delaware since 03/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PAULSON CAPITAL HOLDING COMPANY, LLCOWNER
CLARK, CHRISTOPHER STEVENCHAIRMAN, ELECTED MANAGER1952666
PARIGIAN, THOMAS STEWARTELECTED MANAGER1398840
SETTEDUCATI, ROBERT JOSEPHELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT1352722
DAVIS, TRENT DONALDCHIEF EXECUTIVE OFFICER2137171
RASMUSSEN, KATHLEEN HATLELICHIEF COMPLIANCE OFFICER2608755
WINKS, MALCOLM ALEXANDERPRESIDENT AND CFO/FINOP5153752

Disclosures

Regulatory Event35
Civil Event1
Arbitration8
Bond1

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

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670Chicago, IL 60631

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