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AB

Andrew C. Brummer

IMPERIAL CAPITAL
New York, NY 10172
Some features on this profile are disabled
CRD#: 2103459
AB

Professional summary

Andrew Clark Brummer is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1990. Andrew has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Clark Brummer's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 6, 2020 - Present

IMPERIAL CAPITAL, LLC

Office #1: 277 Park Avenue Suite 2004, New York, NY 10172
BD
CRD#: 43744
New York, NY
Past

December 11, 2017 - January 17, 2020

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

August 2, 2010 - December 12, 2017

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

February 18, 2009 - July 30, 2010

SUMMIT SECURITIES GROUP LLC

BD
CRD#: 143727
NEW YORK, NY
Past

June 19, 2000 - February 9, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

June 14, 2000 - July 20, 2000

BNP PARIBAS INVESTMENT SERVICES, LLC

BD
CRD#: 44598
MIAMI, FL
Past

December 24, 1996 - June 9, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 29, 1996 - October 24, 1996

EAGLE ROCK CAPITAL GROUP, INC.

BD
CRD#: 29869
ROSELAND, NJ
Past

April 13, 1994 - January 23, 1996

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD
Past

November 30, 1990 - March 9, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
California
(4/6/2020)
RR
Colorado
(11/4/2021)
RR
Connecticut
(4/6/2020)
RR
Delaware
(11/4/2021)
RR
Florida
(11/20/2020)
RR
Illinois
(4/6/2020)
RR
Michigan
(3/3/2021)
RR
New Jersey
(4/6/2020)
RR
New York
(4/6/2020)
RR
North Carolina
(6/6/2023)
RR
Pennsylvania
(4/6/2020)
RR
Wisconsin
(11/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/7/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/2009
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Event2
Arbitration1

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.

Company Information

IMPERIAL CAPITAL, LLC

CRD#: 43744New York, NY 10172

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