Kristin E. Foley
Professional summary
Kristin Elaine Foley, who also goes by Kristen E Foley, Kristin Elaine Foley, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.
Kristin is registered as a RR (Registered Representative) and started their career in finance in 1997. Kristin has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kristin Elaine Foley's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2023 - Present
IMPERIAL CAPITAL, LLC
Office #1: 277 Park Avenue Suite 2004, New York, NY 10172February 1, 2021 - January 3, 2023
SANTANDER INVESTMENT SECURITIES INC.
March 15, 2011 - January 26, 2021
IMPERIAL CAPITAL, LLC
April 14, 2009 - March 10, 2011
CF GLOBAL TRADING, LLC
October 1, 2008 - December 26, 2008
J.P. MORGAN SECURITIES LLC
May 12, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 12, 2007 - May 13, 2008
J.P. MORGAN SECURITIES LLC
June 14, 2006 - May 23, 2007
ABN AMRO INCORPORATED
October 3, 2005 - May 22, 2007
LASALLE FINANCIAL SERVICES, INC.
October 28, 1997 - October 4, 2005
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Nasdaq Stock Market
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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