MM
Mark C. Martis
IMPERIAL CAPITAL
Los Angeles, CA 90067
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CRD#: 1598950
MM
Professional summary
Mark Christopher Martis is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Christopher Martis's 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®
NoneExperience
Current
November 4, 1997 - Present
IMPERIAL CAPITAL, LLC
Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067BD
CRD#: 43744
Los Angeles, CA
Past
November 8, 2001 - March 30, 2024
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
RIA
CRD#: 108258
PALM BEACH GARDENS, FL
Past
August 29, 1995 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
BD
CRD#: 24367
BEVERLY HILLS, CA
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
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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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