Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
AMY SUE GRUNDEN
AMY S CLARK, AMY SUE CLARK
CRD#: 4627380
IA
Investment Adviser
B
Broker
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 7465 SR 366
STE A
HUNTSVILLE, OH 43324
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2006 (<1 year)2 FIRMS2006 - 2016 (10 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Florida 5/8/2017
B
North Carolina 11/5/2021
B
Georgia 3/23/2021
B
Ohio 6/22/2016
B
Indiana 11/5/2021
IA
Ohio 6/23/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
7465 SR 366 STE A, HUNTSVILLE, OH 43324
Registered with this firm since 6/23/2016
B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
7465 SR 366 STE A, HUNTSVILLE, OH 43324
Registered with this firm since 6/22/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/26/2006 - 06/07/2016 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) COLUMBUS, OH
B
 05/26/2006 - 06/07/2016 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) COLUMBUS, OH
IA
 07/06/2005 - 01/03/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DUBLIN, OH
B
 07/06/2005 - 01/03/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
IA
 01/13/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) DUBLIN, OH
B
 01/13/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
IA
 11/28/2003 - 01/03/2005 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) BELLEFONTAINE, OH
B
 02/14/2003 - 01/03/2005 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.