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JD

John P. Dolce

IMPERIAL CAPITAL
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4782857
JD

Professional summary

John Paul Dolce is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Stamford, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 2004. John has worked at 12 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) - BD

Click below to view John Paul Dolce's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 3, 2024 - Present

IMPERIAL CAPITAL, LLC

Office #1: One Landmark Square Suite 720, Stamford, CT 06901
BD
CRD#: 43744
Stamford, CT
Past

April 3, 2023 - August 15, 2024

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

June 28, 2022 - March 9, 2023

DE PAOLA TRADING, INC.

BD
CRD#: 143625
NEW YORK, NY
Past

December 24, 2015 - July 27, 2022

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

May 24, 2012 - August 26, 2013

MILLER TABAK + CO., LLC

BD
CRD#: 47293
BOSTON, MA
Past

September 9, 2011 - May 22, 2012

AURIGA USA, LLC

BD
CRD#: 121731
BOSTON, MA
Past

July 20, 2009 - September 20, 2011

CAPSTONE INVESTMENTS

BD
CRD#: 41400
BOSTON, MA
Past

May 13, 2008 - July 30, 2009

WEDBUSH SECURITIES INC.

BD
CRD#: 877
NEW YORK, NY
Past

February 22, 2007 - February 7, 2008

MONNESS CRESPI HARDT & CO., INC.

BD
CRD#: 7424
NEW YORK, NY
Past

June 7, 2006 - March 2, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY
Past

April 24, 2006 - June 9, 2006

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

September 30, 2004 - April 21, 2006

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/3/2024)
RR
Connecticut
(9/3/2024)
RR
Massachusetts
(9/3/2024)
RR
New York
(9/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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#: 43744Stamford, CT 06901

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