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JW

John B. Ward

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CRD#: 1029840
JW

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.

John Bessom Ward was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1982. John had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.

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

March 30, 2020 - April 24, 2026

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
Stamford, CT
Past

May 3, 2019 - March 27, 2020

SIMON QUICK ADVISORS, LLC

RIA
CRD#: 132330
Darien, CT
Past

April 26, 2019 - March 25, 2020

SCARSDALE EQUITIES LLC

BD
CRD#: 134602
NEW YORK, NY
Past

May 9, 2016 - April 10, 2018

COWEN AND COMPANY

BD
CRD#: 7616
Stamford, CT
Past

July 10, 2003 - May 11, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

February 6, 2002 - June 30, 2003

KEVIN DANN & PARTNERS, LLC

BD
CRD#: 113591
NEW YORK, NY
Past

April 30, 2001 - December 31, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

April 22, 1998 - April 30, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

January 25, 1995 - April 24, 1998

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

January 22, 1982 - February 22, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, 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: 9/14/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/9/1993
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

IC
IMPERIAL CAPITAL, LLC
IMPERIAL CAPITAL, LLC

CRD#: 43744 / SEC#: , 8-50397

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

Main Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
Mailing Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
Phone number
(310) 246-3700
Established
Delaware since 07/22/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IMPERIAL CAPITAL GROUP, LLCDIRECT OWNER
GENOVESE, RICHARD ALANVICE PRESIDENT & CONTROLLER (FINOP)1434049
MARTIS, MARK CHRISTOPHERCHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER1598950
WIENCH, TODD EDMUNDCHIEF COMPLIANCE OFFICER5361575
WOOSTER, RANDALL EVANCEO1822107

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

IMPERIAL CAPITAL, LLC

CRD#: 43744

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