Christopher A. Locicero

IMPERIAL CAPITAL

Red Bank, NJ 07701

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CRD#: 2315725

Professional summary

Christopher Alan Locicero, who also goes by Chris Locicero, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Red Bank, New Jersey.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Locicero

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 Christopher Alan Locicero'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

June 16, 2014 - Present

IMPERIAL CAPITAL, LLC

Office #1: 12 Broad Street 4th Floor Unit 401, Red Bank, NJ, 07701

CRD#: 43744

Red Bank, NJ

Past

June 16, 2014 - March 30, 2024

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

New York, NY

Past

March 19, 2012 - July 7, 2014

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

April 4, 2008 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

January 12, 2000 - January 15, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 23, 1998 - November 18, 1999

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

August 27, 1996 - September 10, 1998

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Past

April 2, 1996 - May 30, 1996

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/30/2014)

New Jersey
(11/8/2024)

New York
(6/16/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/11/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/5/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/17/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/18/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

IMPERIAL CAPITAL, LLC

CRD#: 43744 / SEC#: , 8-50397

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
IMPERIAL CAPITAL GROUP, LLC	DIRECT OWNER
GENOVESE, RICHARD ALAN	VICE PRESIDENT & CONTROLLER (FINOP)	1434049
MARTIS, MARK CHRISTOPHER	CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER	1598950
WIENCH, TODD EDMUND	CHIEF COMPLIANCE OFFICER	5361575
WOOSTER, RANDALL EVAN	CEO	1822107

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Christopher A. Locicero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Alan Locicero's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

CANACCORD GENUITY LLC

CANACCORD GENUITY SECURITIES LLC

OPPENHEIMER & CO. INC.

CANTOR FITZGERALD & CO.

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

LCP CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2014

Series 63

Date: 3/13/1996

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/11/2000

Series 7

Date: 3/5/1996

Series 4

Date: 9/17/2014

Series 53

Date: 8/18/2014

Series 24

Date: 3/12/2012

FINRA

Nasdaq Stock Market

Current Firm

IMPERIAL CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IMPERIAL CAPITAL, LLC

TRUST BUT VERIFY

Contact information

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