AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
MM

Mark Christopher Martis

IMPERIAL CAPITAL
LOS ANGELES, CA
·CRD# 1598950·31 years experience

Professional Summary

Mark Christopher Martis is a registered financial advisor currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California. Mark is registered as a RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 4, Series 24 and Series 27 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

TORRANCE, CA · CRD#
View profile
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

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.

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

Years of Experience

31 years in the financial services industry

Current & Past Employments

IMPERIAL CAPITAL, LLC·CRD# 43744
BD
10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
November 4, 1997 - Present
IMPERIAL CAPITAL ASSET MANAGEMENT LLC·CRD# 108258
RIA
Palm Beach Gardens, FL
November 8, 2001 - March 30, 2024
DABNEY/RESNICK/IMPERIAL, LLC·CRD# 24367
BD
Beverly Hills, CA
August 29, 1995 - December 31, 1997

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

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)

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

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

2

Arbitration

1

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

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.

NAME OF OTHER BUSINESS: IMPERIAL CAPITAL (HOLDINGS) LTD, IMPERIAL CAPITAL (INTERNATIONAL) LLP; INVESTMENT RELATED: YES; ADDRESS: One Eagle Place, London SW1Y 6AF, United Kingdom ; POSITION, TITLE, OR RELATIONSHIP: DIRECTOR; START DATE: OCTOBER 19, 2011; APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO OTHER BUSINESS: 10 HOURS PER MONTH; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING TRADING HOURS: 10 HOURS PER MONTH; DUTIES: DIRECTOR OF THE HOLDING COMPANY FOR IMPERIAL CAPITAL'S UK OPERATING AFFILIATE. BOARD LEVEL RESPONSIBILITIES. --- NAME OF OTHER BUSINESS: JMMR, LLC; INVESTMENT RELATED; ADDRESS: 10100 SANTA MONICA BLVD., SUITE 2400, LOS ANGELES, CA, 90067; NATURE OF THE OTHER BUSINESS: MANAGEMENT SERVICES OF LIMITED LIABILITY COMPANIES; POSITION: PRESIDENT; START DATE OF RELATIONSHIP: 05/02/2014; APPROXIMATE NUMBER OF HOURS DEVOTED TO OTHER BUSINESS: 1 HOUR PER MONTH; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS: 1 HOUR PER MONTH; DUTIES: TO SERVE AS MANAGING MEMBER OF THE OTHER LLC ENTITIES THROUGH ROLE AS PRESIDENT. --- NAME OF OTHER BUSINESS: IMPERIAL CAPITAL ISRAEL LIMITED; INVESTMENT RELATED; ADDRESS: C/O I* ALLIANCE, 45 ROTHSCHILD BLVD, P.O.B. 29141 TEL AVIV, 6578043, ISRAEL; TITLE: DIRECTOR; START DATE JANUARY 15, 2015. NUMBER OF HOURS DEDICATED PER MONTH DURING TRADING HOURS: 1 HOUR;DUTIES: GENERAL BOARD DUTIES. --- NAME OF OTHER BUSINESS: PORT OF LOS ANGELES HIGH SCHOOL; NOT SECURITIES RELATED BUT FINANCIAL IN NATURE; ADDRESS: 250 W 5TH ST, SAN PEDRO, CA 90731; NATURE OF THE BUSINESS: PUBLIC CHARTER SCHOOL; POSITION: TREASURER; START DATE 7/1/2015; NUMBER OF HOURS PER MONTH DEDICATED TO BUSINESS: 5 HOURS; NUMBER OF HOURS DEDICATED TO BUSINESS DURING TRADING HOURS: NONE; DUTIES: REVIEWING OF FINANCIAL STATEMENTS/FINANCIAL AFFAIRS OF THE SCHOOL AND GENERAL BOARD DUTIES.

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arkansas
(10/3/2002)
RR
California
(11/13/1997)
RR
Colorado
(11/11/2015)
RR
Florida
(7/8/2014)
RR
Massachusetts
(8/5/2002)
RR
Montana
(11/28/2000)
RR
New York
(4/29/2010)
RR
Texas
(6/12/2001)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1995About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1995About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed May 2000About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Mar 1997About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Aug 1996About the Series 27 exam
FINRA
SRO Registrations

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#

CRS (Client Relationship Summary) - BD

Click below to view Mark Christopher Martis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Tara Tussing Unverzagt
Tara Tussing Unverzagt

SOUTH BAY FINANCIAL PARTNERS

TORRANCE, CA · CRD#
Jon Derek Neuhaus
Jon Derek Neuhaus

MORGAN STANLEY

El Segundo, CA · CRD#
Beverly Hills, CA · CRD#
Maria Zimiga
Maria Zimiga

J.P. MORGAN SECURITIES LLC

TOLUCA LAKE, CA · CRD#
MM
Follow Mark
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required