Ann L. Kohler
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.
Ann Louise Kohler was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1988. Ann had worked at 11 firms and has passed the Series 65, Series 63, Series 86, Series 87 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
October 25, 2012 - April 29, 2014
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
October 3, 2012 - April 29, 2014
IMPERIAL CAPITAL, LLC
November 15, 2010 - December 2, 2011
CRT CAPITAL GROUP LLC
April 4, 2006 - November 4, 2010
CARIS & COMPANY, INC.
September 13, 2005 - April 3, 2006
COWEN SECURITIES LLC
March 15, 2004 - July 12, 2005
INDEPENDENT RESEARCH GROUP LLC
January 22, 2001 - March 1, 2004
GILFORD SECURITIES INCORPORATED
November 26, 1999 - January 16, 2001
HD BROUS & CO., INC.
July 6, 1995 - December 19, 1997
UBS SECURITIES LLC
April 15, 1992 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 23, 1988 - April 16, 1992
SALOMON 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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