Stephen T. Dodd
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.
Stephen Towner Dodd, who also goes by Stephen Towner Dodd, Steve Dodd, Stephen Dodd, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2024 - April 25, 2025
IMPERIAL CAPITAL, LLC
April 27, 2020 - May 9, 2023
R.W.PRESSPRICH & CO.
November 18, 2019 - March 13, 2020
JANNEY MONTGOMERY SCOTT LLC
March 31, 2014 - January 15, 2019
GUGGENHEIM SECURITIES, LLC
August 5, 2013 - March 18, 2014
FM PARTNERS HOLDINGS LLC
February 17, 2010 - August 2, 2013
COHEN & COMPANY SECURITIES, LLC
July 7, 2008 - May 11, 2010
PALI CAPITAL, INC.
June 29, 2006 - April 2, 2008
PIPER SANDLER & CO.
July 1, 2003 - December 9, 2005
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 8, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
August 29, 1995 - November 8, 1995
NATIVE NATIONS SECURITIES, INC.
November 18, 1994 - May 25, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
November 2, 1990 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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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
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