Christopher P. Shepard

IMPERIAL CAPITAL

Los Angeles, CA 90067

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CRD#: 2573978

Professional summary

Christopher Paul Shepard is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California.

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Paul Shepard'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

January 2, 1998 - Present

IMPERIAL CAPITAL, LLC

Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067

CRD#: 43744

Los Angeles, CA

Past

November 20, 2006 - April 27, 2007

SIENA CAPITAL HOLDINGS, LLC

RIA

CRD#: 133513

LOS ANGELES, CA

Past

November 8, 2001 - December 11, 2007

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

LOS ANGELES, CA

Past

August 6, 1996 - December 31, 1997

DABNEY/RESNICK/IMPERIAL, LLC

CRD#: 24367

BEVERLY HILLS, CA

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
(1/12/1998)

Delaware
(4/27/2009)

Florida
(8/5/2009)

Minnesota
(3/31/2010)

New York
(11/20/2003)

Ohio
(5/5/2009)

Texas
(3/31/2010)

Exams

State Security Law Exam

Series 63

Date: 9/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/1998

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.

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Christopher P. Shepard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Paul Shepard's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIENA CAPITAL HOLDINGS, LLC

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

DABNEY/RESNICK/IMPERIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/1996

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1996

Series 24

Date: 12/21/1998

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

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