Nancy P. Morris

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CRD#: 1088821

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.

Nancy Pollack Morris, who also goes by Nancy Dee Pollack, was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1983. Nancy had worked at 10 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nancy Dee Pollack

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

April 12, 2011 - September 13, 2012

IMPERIAL CAPITAL, LLC

CRD#: 43744

LOS ANGELES, CA

Past

May 6, 2010 - March 10, 2011

CF GLOBAL TRADING, LLC

CRD#: 104245

NEW YORK, NY

Past

March 20, 2009 - April 21, 2010

FINACORP SECURITIES

CRD#: 41569

SAN RAFAEL, CA

Past

September 18, 2008 - April 9, 2009

OPPENHEIMER & CO. INC.

CRD#: 249

SAN FRANCISCO, CA

Past

May 14, 2008 - October 28, 2008

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

SAN FRANCISCO, CA

Past

January 7, 2005 - May 24, 2006

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

SAN FRANCISCO, CA

Past

February 13, 2001 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

September 20, 1996 - March 8, 1999

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

January 22, 1996 - September 4, 1996

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

October 17, 1994 - March 5, 1996

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

January 19, 1983 - September 19, 1994

FINANCIAL SQUARE PARTNERS

CRD#: 1541

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

Series 63

Date: 12/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Current Firm

IMPERIAL CAPITAL, LLC

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

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

Name	Position	CRD#
IMPERIAL CAPITAL GROUP, LLC	DIRECT OWNER
GENOVESE, RICHARD ALAN	VICE PRESIDENT & CONTROLLER (FINOP)	1434049
MARTIS, MARK CHRISTOPHER	CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER	1598950
WIENCH, TODD EDMUND	CHIEF COMPLIANCE OFFICER	5361575
WOOSTER, RANDALL EVAN	CEO	1822107

Disclosures

Regulatory Event	2
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Nancy P. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CF GLOBAL TRADING, LLC

FINACORP SECURITIES

OPPENHEIMER & CO. INC.

JESUP & LAMONT SECURITIES CORP

FHN FINANCIAL SECURITIES CORP.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

ABN AMRO INCORPORATED

FINANCIAL SQUARE PARTNERS

SUTRO & CO. INCORPORATED

FINANCIAL SQUARE PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/1991

Series 7

Date: 1/15/1983

Current Firm

IMPERIAL CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IMPERIAL CAPITAL, LLC

TRUST BUT VERIFY

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