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KE

Kevin J. Ecclesine

IMPERIAL CAPITAL
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 1319229
KE

Professional summary

Kevin Joseph Ecclesine, who also goes by Kev Ecclesine, Kevin J Ecclesine, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Stamford, Connecticut.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1985. Kevin has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kev Ecclesine | Kevin J Ecclesine

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Joseph Ecclesine's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 1, 2015 - Present

IMPERIAL CAPITAL, LLC

Office #1: One Landmark Square Suite 720, Stamford, CT 06901
BD
CRD#: 43744
Stamford, CT
Past

May 6, 2010 - December 3, 2014

UBS SECURITIES LLC

BD
CRD#: 7654
BOSTON, MA
Past

September 1, 2009 - April 14, 2010

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

January 8, 2009 - March 30, 2009

FEP INVESTMENTS LLC

BD
CRD#: 147152
BOSTON, MA
Past

March 22, 1996 - December 14, 2007

LEHMAN BROTHERS INC.

BD
CRD#: 7506
BOSTON, MA
Past

May 3, 1993 - April 3, 1996

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

November 14, 1988 - May 4, 1993

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

February 26, 1988 - October 18, 1988

NATIVE NATIONS SECURITIES, INC.

BD
CRD#: 334
Past

October 13, 1987 - May 6, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

March 19, 1985 - September 15, 1987

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Past

February 26, 1985 - August 3, 1987

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/1/2015)
RR
Colorado
(11/10/2021)
RR
Connecticut
(4/1/2015)
RR
Florida
(4/1/2015)
RR
Illinois
(6/17/2020)
RR
Kansas
(11/13/2020)
RR
Massachusetts
(4/1/2015)
RR
Minnesota
(11/12/2020)
RR
Missouri
(4/1/2015)
RR
New Jersey
(11/10/2021)
RR
New Mexico
(11/10/2021)
RR
New York
(4/1/2015)
RR
Ohio
(11/12/2020)
RR
Oklahoma
(9/11/2020)
RR
Pennsylvania
(11/12/2020)
RR
Rhode Island
(11/12/2020)
RR
Texas
(10/20/2020)
RR
Utah
(11/8/2022)
RR
Wisconsin
(4/1/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/11/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/25/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

IC
IMPERIAL CAPITAL, LLC
IMPERIAL CAPITAL, LLC

CRD#: 43744 / SEC#: , 8-50397

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
Mailing Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
Phone number
(310) 246-3700
Established
Delaware since 07/22/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IMPERIAL CAPITAL GROUP, LLCDIRECT OWNER
GENOVESE, RICHARD ALANVICE PRESIDENT & CONTROLLER (FINOP)1434049
MARTIS, MARK CHRISTOPHERCHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER1598950
WIENCH, TODD EDMUNDCHIEF COMPLIANCE OFFICER5361575
WOOSTER, RANDALL EVANCEO1822107

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

IMPERIAL CAPITAL, LLC

CRD#: 43744Stamford, CT 06901

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