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JO

James J. Olszowy

Some features on this profile are disabled
CRD#: 3096031
JO

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.

James Jeffrey Olszowy, who also goes by J J Olszowy, James J Olszowy, Jj Olszowy, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

J J Olszowy | James J Olszowy | Jj Olszowy

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

March 31, 2020 - May 28, 2020

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA
Past

January 22, 2018 - May 16, 2018

HUNT FINANCIAL SECURITIES

BD
CRD#: 169919
NEW YORK, NY
Past

July 17, 2017 - August 18, 2017

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHARLOTTE, NC
Past

August 27, 2012 - April 26, 2017

JEFFERIES LLC

BD
CRD#: 2347
CHARLOTTE, NC
Past

February 4, 2010 - July 26, 2011

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
CHARLOTTE, NC
Past

January 23, 2008 - February 8, 2010

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
CHARLOTTE, NC
Past

March 1, 2005 - April 27, 2007

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

April 19, 2004 - January 12, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 12, 2001 - March 25, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 22, 1998 - September 7, 2001

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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: 10/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1998
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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