Catherine E. Schafer
Professional summary
Catherine Ellis Schafer, who also goes by Catherine Mary Ellis, Cathy Ellis, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 1992. Catherine has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 87, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catherine Ellis Schafer's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2000 - Present
IMPERIAL CAPITAL, LLC
Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067November 20, 2006 - April 27, 2007
SIENA CAPITAL HOLDINGS, LLC
November 8, 2001 - April 4, 2011
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
April 19, 1994 - November 15, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 15, 1992 - April 26, 1994
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/4/2001)
(1/24/2002)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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