Gregg M. Klein
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.
Gregg Michael Klein was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1999. Gregg had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - September 12, 2017
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
November 8, 2010 - September 12, 2017
IMPERIAL CAPITAL, LLC
June 27, 2000 - November 16, 2010
BNP PARIBAS SECURITIES CORP.
June 21, 2000 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
July 21, 1999 - July 25, 2000
COWEN AND COMPANY
January 26, 1999 - May 28, 1999
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
CRD#: 108258 / SEC#: 801-67961
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 393,743,621 |
Red Flags
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