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MD

Mark R. Davis

IMPERIAL CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 4804981
MD

Professional summary

Mark Robert Davis is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 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 Mark Robert Davis'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

March 14, 2006 - Present

IMPERIAL CAPITAL, LLC

Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067
BD
CRD#: 43744
Los Angeles, CA
Past

September 4, 2009 - August 16, 2010

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA
CRD#: 108258
LOS ANGELES, CA

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
(3/14/2006)
RR
Connecticut
(1/4/2011)
RR
District of Columbia
(11/4/2021)
RR
Florida
(11/5/2019)
RR
Georgia
(1/4/2011)
RR
Illinois
(1/4/2011)
RR
Kansas
(11/4/2021)
RR
Maryland
(11/5/2019)
RR
Massachusetts
(12/6/2013)
RR
Missouri
(11/4/2016)
RR
New Jersey
(1/4/2011)
RR
New York
(8/18/2010)
RR
North Carolina
(5/22/2012)
RR
Ohio
(5/22/2012)
RR
Pennsylvania
(1/4/2011)
RR
Texas
(1/4/2011)
RR
Virginia
(7/14/2017)
RR
Wisconsin
(5/22/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/2005
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 87
Date: 7/29/2009
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 6/17/2009
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 3/13/2006
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#: 43744Los Angeles, CA 90067

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