Neal I. Thomas
Professional summary
Neal Ike Thomas, who also goes by Neal Ike Thomas, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.
Neal is registered as a RR (Registered Representative) and started their career in finance in 1992. Neal has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 8, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal Ike Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2023 - Present
IMPERIAL CAPITAL, LLC
Office #1: 277 Park Avenue Suite 2004, New York, NY 10172November 18, 2019 - August 10, 2023
ODEON CAPITAL GROUP LLC
April 17, 2007 - December 9, 2019
IMPERIAL CAPITAL, LLC
May 17, 2006 - April 3, 2007
COWEN SECURITIES LLC
January 28, 2004 - January 18, 2006
GUGGENHEIM SECURITIES, LLC
January 15, 2002 - January 26, 2004
BGC FINANCIAL, L.P.
November 3, 1997 - January 23, 2002
CIBC WORLD MARKETS CORP.
September 1, 1995 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
March 11, 1994 - September 1, 1995
THE ARGOSY SECURITIES GROUP, L.P.
March 11, 1992 - May 6, 1992
NEW STREET SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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