Richard A. Genovese
Professional summary
Richard Alan Genovese is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Genovese's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2013 - Present
IMPERIAL CAPITAL, LLC
Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067November 10, 2008 - June 4, 2012
UNX LLC
June 11, 2008 - October 29, 2008
COUNTRYWIDE SECURITIES CORPORATION
April 19, 2001 - March 1, 2002
MARKET AXESS INC.
May 10, 2000 - May 16, 2006
MARKETAXESS CORPORATION
June 10, 1986 - November 5, 1999
CANTOR FITZGERALD & CO.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
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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