Douglas J. Dieter
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.
Douglas Joseph Dieter, who also goes by Doug Dieter, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2005. Douglas had worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 86 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
June 29, 2009 - February 11, 2013
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
May 20, 2009 - February 11, 2013
IMPERIAL CAPITAL, LLC
March 3, 2008 - April 14, 2009
GLEACHER & COMPANY SECURITIES, INC.
November 21, 2006 - March 4, 2008
BNY CAPITAL MARKETS INC.
August 24, 2005 - November 3, 2006
FTN EQUITY CAPITAL MARKETS CORP.
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
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.
