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JP

John W. Petrozzi

IMPERIAL CAPITAL
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2439847
JP

Professional summary

John William Petrozzi Jr., who also goes by John W (jr) Petrozzi, John William Petrozzi Jr, John William Petrozzi, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Stamford, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John W (jr) Petrozzi | John William Petrozzi Jr | John William Petrozzi

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 John William Petrozzi Jr.'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

May 9, 2022 - Present

IMPERIAL CAPITAL, LLC

Office #1: One Landmark Square Suite 720, Stamford, CT 06901
BD
CRD#: 43744
Stamford, CT
Past

March 26, 2021 - February 2, 2022

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

December 4, 2006 - August 3, 2010

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

March 16, 1999 - March 21, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 1, 1994 - March 18, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
(5/9/2022)
RR
Colorado
(5/9/2022)
RR
Connecticut
(5/9/2022)
RR
Florida
(5/9/2022)
RR
Illinois
(5/9/2022)
RR
Maryland
(5/9/2022)
RR
Massachusetts
(5/9/2022)
RR
Michigan
(4/15/2024)
RR
Minnesota
(5/9/2022)
RR
Nebraska
(11/8/2024)
RR
New Jersey
(5/9/2022)
RR
New York
(5/9/2022)
RR
Texas
(5/9/2022)
RR
Virginia
(5/9/2022)
RR
Washington
(5/9/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/26/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/18/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/31/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/2021
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#: 43744Stamford, CT 06901

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