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Patrick Hayes

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CRD#: 2815949
PH

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.

Patrick Hayes was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

April 27, 2016 - June 8, 2018

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

October 21, 2010 - April 11, 2016

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

May 28, 2010 - July 9, 2010

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

September 21, 2009 - May 26, 2010

SHS SECURITIES, INC.

BD
CRD#: 129165
NEW YORK, NY
Past

June 26, 2009 - October 2, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY
Past

March 11, 1997 - May 1, 2009

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1997
General Securities Representative Examination

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#: 43744

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