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JW

John B. Ward

IMPERIAL CAPITAL
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 1029840
JW

Professional summary

John Bessom Ward is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Stamford, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 1982. John has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 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) - BD

Click below to view John Bessom Ward'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

March 30, 2020 - Present

IMPERIAL CAPITAL, LLC

Office #1: One Landmark Square Suite 720, Stamford, CT 06901
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.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/30/2020)
RR
Connecticut
(3/30/2020)
RR
Florida
(11/7/2022)
RR
Massachusetts
(11/15/2024)
RR
New York
(3/30/2020)
RR
Pennsylvania
(5/5/2022)

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)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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)

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

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

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

IMPERIAL CAPITAL, LLC

CRD#: 43744Stamford, CT 06901

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