Emmett J. Ohara
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.
Emmett John Ohara was a registered financial professional .
Emmett is a previously registered financial professional and started their career in finance in 1983. Emmett had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2015 - February 27, 2020
IMPERIAL CAPITAL, LLC
February 28, 2011 - May 5, 2015
KEYBANC CAPITAL MARKETS INC.
July 10, 2009 - February 17, 2011
CHAPDELAINE TULLETT PREBON, LLC
September 22, 2008 - July 22, 2009
BARCLAYS CAPITAL INC.
May 15, 1997 - September 22, 2008
LEHMAN BROTHERS INC.
May 6, 1991 - May 19, 1997
J.P. MORGAN SECURITIES LLC
June 5, 1987 - May 14, 1991
MORGAN STANLEY DW INC.
June 26, 1985 - May 12, 1987
KEEFE, BRUYETTE & WOODS, INC.
June 22, 1983 - March 22, 1985
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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