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Michael A. Massimino

IMPERIAL CAPITAL
New York, NY 10172
Some features on this profile are disabled
CRD#: 2444495
MM

Professional summary

Michael Anthony Massimino, who also goes by Mike Massimino, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 62 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Massimino

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 Michael Anthony Massimino'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

August 30, 2021 - Present

IMPERIAL CAPITAL, LLC

Office #1: 277 Park Avenue Suite 2004, New York, NY 10172Office #2: 12 Broad Street 4th Floor Unit 401, Red Bank, NJ, 07701
BD
CRD#: 43744
New York, NY
Past

April 23, 2013 - July 21, 2021

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

October 24, 2012 - April 22, 2013

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

February 28, 2012 - October 24, 2012

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

January 30, 2012 - February 27, 2012

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
RED BANK, NJ
Past

October 1, 2008 - January 12, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

August 18, 2003 - August 27, 2008

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

December 17, 2001 - June 20, 2003

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

December 10, 1996 - December 12, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 30, 1994 - October 16, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 11, 1994 - August 8, 1994

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

February 16, 1994 - April 7, 1994

AUGMENT SECURITIES INC.

BD
CRD#: 28373
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
(8/30/2021)
RR
Connecticut
(8/30/2021)
RR
Nevada
(8/28/2025)
RR
New Jersey
(11/4/2021)
RR
New York
(8/30/2021)
RR
Texas
(8/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/22/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/8/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 2/15/1994
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2021
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#: 43744New York, NY 10172

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