Keith A. Grimaldi
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.
Keith Anthony Grimaldi was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1984. Keith had worked at 7 firms and has passed the Series 63, SIE, Series 3, 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
September 20, 2012 - May 30, 2018
IMPERIAL CAPITAL, LLC
April 6, 2009 - June 20, 2012
CANTOR FITZGERALD & CO.
June 17, 2003 - March 11, 2009
UBS SECURITIES LLC
April 11, 2003 - June 26, 2003
NATIXIS SECURITIES NORTH AMERICA INC.
October 5, 1998 - March 18, 2003
CIBC WORLD MARKETS CORP.
January 1, 1992 - September 3, 1998
CITICORP SECURITIES, INC.
August 16, 1985 - July 9, 1990
CITICORP SECURITIES, INC.
July 25, 1984 - August 28, 1985
THOMSON MCKINNON SECURITIES 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
