Gerasimos Mavrokefalos

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CRD#: 2660995

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gerasimos Mavrokefalos, who also goes by Makis Mavrokefalos, was a registered financial professional .

Gerasimos is a previously registered financial professional and started their career in finance in 1995. Gerasimos had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Makis Mavrokefalos

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 27, 2025 - June 13, 2025

IMPERIAL FUND ASSET MANAGEMENT LLC

RIA

CRD#: 317525

FORT LAUDERDALE, FL

Past

December 9, 2024 - January 31, 2025

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Miami, FL

Past

December 6, 2024 - January 31, 2025

MML INVESTORS SERVICES, LLC

CRD#: 10409

Miami, FL

Past

October 24, 2023 - May 30, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Miami, FL

Past

October 23, 2023 - May 30, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Miami, FL

Past

June 24, 2023 - August 21, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

Coral Gables, FL

Past

October 6, 1995 - February 3, 1997

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IMPERIAL FUND ASSET MANAGEMENT LLC

IMPERIAL CAPITAL PARTNERS | IMPERIAL FUND CAPITAL PARTNERS, LLC | IMPERIAL FUND ASSET MANAGEMENT LLC

CRD#: 317525 / SEC#: 801-123060

RIA

Registered Investment Advisory firm - (2/1/2022 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/18/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/23/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/11/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/1995

General Securities Representative Examination

Current Firm

IMPERIAL FUND ASSET MANAGEMENT LLC

IMPERIAL CAPITAL PARTNERS | IMPERIAL FUND CAPITAL PARTNERS, LLC | IMPERIAL FUND ASSET MANAGEMENT LLC

CRD#: 317525 / SEC#: 801-123060

RIA

Registered Investment Advisory firm - (2/1/2022 Approved)

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Contact information

Main Address

899 W Cypress Creek Rd, Fort Lauderdale, FL 33309

Mailing Address

Phone number

(855) 226-5200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (3/30/2025)

ADV PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 7,527,806,748

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.

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Advisor Monitoring

Firm Stability Insights

Gerasimos Mavrokefalos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

IMPERIAL FUND ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2023

Series 7TO

Date: 6/23/2023

SIE

Date: 5/11/2023

Series 7

Date: 10/5/1995

Current Firm

IMPERIAL FUND ASSET MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IMPERIAL FUND ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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