Joseph S. Amundsen
Professional summary
Joseph Stanley Amundsen 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 2003. Prior to being barred, Joseph had worked at 33 firms, which includes IWP INVESTMENTS LLC, SEMAZA SECURITIES LLC, GROUPARGENT SECURITIES LLC, MCBARRON CAPITAL LLC, JAVELIN SECURITIES LLC, NCB SECURITIES LLC, CAPFI PARTNERS LLC, KALIN ASSOCIATES INC., HEIGHTS PARTNERS INC., EVERCORE GROUP L.L.C., IFS SECURITIES, CHARLES MORGAN SECURITIES INC., BIDS TRADING L.P., GREAT EASTERN SECURITIES INC., INTELLIGENT EDGE SECURITIES LLC, CROWN INVESTMENT BANKING INC., WEISS MULTI-STRATEGY FUNDS LLC, BRIMBERG & CO., DAVIS SECURITIES LLC, VALORES FINAMEX INTERNATIONAL INC., NW ADVISORS LLC, PROFOR ADVISORS, ACHILLES SECURITIES LLC, SAFIE HOLDINGS LLC, THOMAS P. REYNOLDS SECURITIES LTD., GLOBAL HUNTER SECURITIES LLC, CENTRADE SECURITIES CORP., GLOBAL OAK CAPITAL MARKETS LLC, MERCURY EQUITY GROUP LLC, TAURUS GLOBAL FUND ADVISORS, BSG MARKETS LLC, FOX CHASE CAPITAL PARTNERS LLC, SORT SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2010 - April 16, 2010
IWP INVESTMENTS, LLC
May 13, 2009 - April 20, 2010
SEMAZA SECURITIES, LLC
April 16, 2009 - April 16, 2010
GROUPARGENT SECURITIES, LLC
February 12, 2009 - April 19, 2010
MCBARRON CAPITAL LLC
May 30, 2008 - February 13, 2009
JAVELIN SECURITIES, LLC
April 10, 2008 - April 16, 2010
NCB SECURITIES, LLC
December 21, 2007 - April 16, 2010
CAPFI PARTNERS LLC
October 17, 2007 - October 25, 2007
KALIN ASSOCIATES, INC.
September 27, 2007 - April 19, 2010
HEIGHTS PARTNERS, INC.
June 25, 2007 - February 27, 2008
JAVELIN SECURITIES, LLC
June 15, 2007 - January 3, 2008
EVERCORE GROUP L.L.C.
May 15, 2007 - April 16, 2010
IFS SECURITIES
January 10, 2007 - April 19, 2010
CHARLES MORGAN SECURITIES, INC.
January 4, 2007 - March 2, 2007
BIDS TRADING L.P.
September 14, 2006 - January 3, 2007
GREAT EASTERN SECURITIES, INC.
August 9, 2006 - February 15, 2007
INTELLIGENT EDGE SECURITIES, LLC
August 7, 2006 - September 6, 2006
CROWN INVESTMENT BANKING, INC.
August 7, 2006 - February 26, 2007
WEISS MULTI-STRATEGY FUNDS LLC
August 3, 2006 - February 22, 2007
EVERCORE GROUP L.L.C.
August 1, 2006 - January 3, 2007
BRIMBERG & CO.
August 1, 2006 - February 15, 2007
DAVIS SECURITIES LLC
August 1, 2006 - February 16, 2007
VALORES FINAMEX INTERNATIONAL, INC.
February 8, 2006 - April 19, 2010
NW ADVISORS LLC
November 30, 2005 - April 19, 2010
PROFOR ADVISORS
September 7, 2005 - May 12, 2006
ACHILLES SECURITIES, LLC
August 10, 2005 - October 31, 2006
SAFIE HOLDINGS LLC
April 25, 2005 - April 16, 2010
THOMAS P. REYNOLDS SECURITIES LTD.
February 21, 2005 - September 30, 2005
GLOBAL HUNTER SECURITIES, LLC
February 15, 2005 - April 23, 2010
CENTRADE SECURITIES CORP.
September 27, 2004 - April 16, 2010
GLOBAL OAK CAPITAL MARKETS LLC
July 14, 2004 - April 16, 2010
MERCURY EQUITY GROUP, LLC
June 23, 2004 - February 4, 2005
TAURUS GLOBAL FUND ADVISORS
February 27, 2004 - April 17, 2010
BSG MARKETS LLC
December 11, 2003 - April 17, 2010
FOX CHASE CAPITAL PARTNERS, LLC
November 19, 2003 - April 25, 2005
SORT SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IWP INVESTMENTS, LLC
CRD#: 113468 / SEC#: , 8-53320
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1 FINANCIAL MARKETPLACE HOLDING COMPANY, LLC | OWNER | |
| ROSS, KEVIN MICHAEL | CEO & CCO | 2290136 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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