RW
Randall E. Wooster
IMPERIAL CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 1822107
RW
Professional summary
Randall Evan Wooster, who also goes by Randy Wooster, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California.
Randall is registered as a RR (Registered Representative) and started their career in finance in 1989. Randall has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Randy Wooster
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; 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: 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: 1/15/2015; NUMBER OF HOURS DEDICATED PER MONTH DURING TRADING HOURS: 1 HOUR; DUTIES: GENERAL BOARD DUTIES.
CRS (Client Relationship Summary) - BD
Click below to view Randall Evan Wooster'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 20, 2006 - April 27, 2007
SIENA CAPITAL HOLDINGS, LLC
RIA
CRD#: 133513
LOS ANGELES, CA
Past
November 8, 2001 - March 30, 2024
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
RIA
CRD#: 108258
PALM BEACH GARDENS, FL
Past
June 24, 1994 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
BD
CRD#: 24367
BEVERLY HILLS, CA
Past
October 15, 1992 - January 25, 1994
CP INVESTMENTS, LLC
BD
CRD#: 24029
LOS ANGELES, CA
Past
February 14, 1989 - October 2, 1991
DURIAN SECURITIES, INC.
BD
CRD#: 16290
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
Arizona(9/29/1999)
RR
California(11/13/1997)
RR
Colorado(12/8/1998)
RR
Connecticut(12/8/1998)
RR
Delaware(12/8/1998)
RR
District of Columbia(12/8/1998)
RR
Florida(12/9/1998)
RR
Georgia(12/8/1998)
RR
Idaho(12/23/1997)
RR
Illinois(12/8/1998)
RR
Indiana(12/8/1997)
RR
Iowa(3/1/2001)
RR
Kentucky(12/10/1998)
RR
Louisiana(3/2/2001)
RR
Maryland(12/8/1998)
RR
Massachusetts(12/8/1998)
RR
Michigan(11/22/1999)
RR
Nevada(10/15/1999)
RR
New Jersey(12/21/1998)
RR
New York(12/8/1998)
RR
North Carolina(12/8/1998)
RR
North Dakota(7/31/2000)
RR
Ohio(12/9/1998)
RR
Oregon(9/17/1999)
RR
Pennsylvania(12/8/1998)
RR
South Carolina(9/21/1999)
RR
South Dakota(1/13/2000)
RR
Texas(12/5/1997)
RR
Vermont(12/21/2000)
RR
Virginia(8/12/1998)
RR
Washington(12/8/1998)
RR
West Virginia(1/6/2000)
RR
Wisconsin(12/8/1998)
RR
Wyoming(1/5/2000)
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
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
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.
