Richard Alan Genovese
Professional Summary
Richard Alan Genovese is a registered financial advisor currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California. Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
IMPERIAL CAPITAL, LLC
Contact Information
Main Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067Mailing Address
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067Phone Number
(310) 246-3700Established
Delaware since 07/22/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Genovese's CRS (Customer Relationship Summary).
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