Norman K. Ludtke

IMPERIAL CAPITAL

Stamford, CT 06901

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CRD#: 2419946

Professional summary

Norman Kirk Ludtke, who also goes by N Kirk Ludke, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Stamford, Connecticut.

Norman is registered as a RR (Registered Representative) and started their career in finance in 1993. Norman has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

N Kirk Ludke

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 Norman Kirk Ludtke'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 2, 2019 - Present

IMPERIAL CAPITAL, LLC

Office #1: One Landmark Square Suite 720, Stamford, CT 06901

CRD#: 43744

Stamford, CT

Past

April 8, 2019 - March 30, 2024

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

NEW YORK, NY

Past

May 7, 2016 - February 22, 2018

COWEN AND COMPANY

CRD#: 7616

Stamford, CT

Past

May 22, 2006 - May 11, 2016

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

November 24, 1993 - April 19, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, 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
(4/2/2019)

Connecticut
(4/26/2024)

New York
(4/2/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/8/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 5/30/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 5/30/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 16

Date: 7/18/2002

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 11/23/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/23/2012

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

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Norman K. Ludtke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Norman Kirk Ludtke's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

COWEN AND COMPANY

CRT CAPITAL GROUP LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2019

Series 63

Date: 12/8/1993

SIE

Date: 2/22/2018

Series 86

Date: 5/30/2006

Series 87

Date: 5/30/2006

Series 16

Date: 7/18/2002

Series 7

Date: 11/23/1993

Series 24

Date: 4/23/2012

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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