Brian S. Robertson
Professional summary
Brian Sinclair Robertson, who also goes by Brian Robertson, is a registered financial professional currently at IMPERIAL CAPITAL, LLC .
Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Sinclair Robertson's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2011 - Present
IMPERIAL CAPITAL, LLC
Office #1: 82 Dean Street 4th Floor, London, W1D 3SPSeptember 14, 2009 - October 31, 2011
ALADDIN CAPITAL LLC
December 17, 2004 - April 1, 2009
BANC OF AMERICA SECURITIES LLC
April 25, 1996 - June 15, 2004
LEHMAN BROTHERS INC.
December 10, 1992 - July 12, 1995
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2011)
(2/1/2012)
(8/20/2012)
(11/9/2016)
(12/15/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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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