Michael S. Gilman
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.
Michael Spencer Gilman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 63, Series 7TO, 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
August 26, 2015 - August 11, 2020
IMPERIAL CAPITAL, LLC
December 19, 2012 - June 4, 2014
B. RILEY & CO., LLC
June 27, 2007 - December 14, 2012
CARIS & COMPANY, INC.
April 24, 2000 - July 2, 2007
WEDBUSH SECURITIES INC.
July 12, 1999 - April 10, 2000
B. RILEY SECURITIES, INC.
April 17, 1996 - July 6, 1999
SUTRO & CO. INCORPORATED
December 22, 1994 - May 7, 1996
CITICORP SECURITIES, INC.
December 21, 1983 - August 1, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent 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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