Jan L. Dillow
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jan Leigh Dillow was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1987. Jan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2014 - October 21, 2015
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
April 7, 2014 - August 18, 2015
IMPERIAL CAPITAL, LLC
September 22, 2008 - February 27, 2014
BARCLAYS CAPITAL INC.
December 17, 1999 - September 22, 2008
LEHMAN BROTHERS INC.
August 19, 1994 - August 19, 1998
GOLDMAN SACHS & CO. LLC
March 21, 1993 - August 12, 1994
KIDDER, PEABODY & CO. INCORPORATED
August 9, 1989 - April 16, 1993
SALOMON BROTHERS INC.
October 22, 1987 - August 7, 1989
LEHMAN BROTHERS INC.
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
Current Firm
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
CRD#: 108258 / SEC#: 801-67961
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 393,743,621 |
Red Flags
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