Peter A. Parent

IMPERIAL CAPITAL

New York, NY 10172

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CRD#: 720947

Professional summary

Peter Arthur Parent is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1980. Peter has worked at 17 firms and has passed the Series 65, Series 63, Series 57TO, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Peter Arthur Parent'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

April 6, 2020 - Present

IMPERIAL CAPITAL, LLC

Office #1: 277 Park Avenue Suite 2004, New York, NY 10172

CRD#: 43744

New York, NY

Past

January 13, 2016 - August 5, 2019

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

June 20, 2011 - January 21, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

June 3, 2009 - June 10, 2011

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, NY

Past

April 28, 2009 - April 30, 2009

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

December 6, 2006 - June 1, 2009

MERRION INVESTMENT MANAGEMENT CO, LLC

RIA

CRD#: 139143

WESTFIELD, NJ

Past

May 19, 2006 - June 1, 2009

MERRION SECURITIES, LLC

CRD#: 30145

WESTFIELD, NJ

Past

August 19, 2004 - June 8, 2006

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

GREENWICH, CT

Past

October 22, 1999 - August 16, 2004

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

June 29, 1999 - October 14, 1999

GLEACHER PARTNERS LLC

CRD#: 47342

NEW YORK, NY

Past

September 30, 1997 - June 29, 1999

NATWEST FINANCE INC.

CRD#: 26125

NEW YORK, NY

Past

May 24, 1996 - November 10, 1997

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

June 24, 1994 - May 9, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1989 - February 26, 1994

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

April 2, 1987 - March 1, 1988

PERSHING LLC

CRD#: 7560

Past

September 13, 1984 - April 2, 1985

RUSSELL & CO

CRD#: 10264

Past

December 30, 1980 - July 26, 1984

NATIVE NATIONS SECURITIES, INC.

CRD#: 334

State Registrations and Notice Filings

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

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

California
(4/6/2020)

Connecticut
(9/28/2021)

Florida
(11/18/2021)

Illinois
(11/18/2021)

Massachusetts
(4/6/2020)

Minnesota
(11/18/2021)

New Jersey
(11/18/2021)

New York
(4/6/2020)

Tennessee
(9/17/2024)

Texas
(11/18/2021)

Washington
(11/18/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/24/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/9/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/28/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/1998

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

IMPERIAL CAPITAL, LLC

CRD#: 43744 / SEC#: , 8-50397

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
IMPERIAL CAPITAL GROUP, LLC	DIRECT OWNER
GENOVESE, RICHARD ALAN	VICE PRESIDENT & CONTROLLER (FINOP)	1434049
MARTIS, MARK CHRISTOPHER	CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER	1598950
WIENCH, TODD EDMUND	CHIEF COMPLIANCE OFFICER	5361575
WOOSTER, RANDALL EVAN	CEO	1822107

Disclosures

Regulatory Event	2
Arbitration	1

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.

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Firm Stability Insights

Peter A. Parent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Arthur Parent's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM SECURITIES, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

SEAPORT GLOBAL SECURITIES LLC

RAFFERTY CAPITAL MARKETS, LLC

MERRION INVESTMENT MANAGEMENT CO, LLC

MERRION SECURITIES, LLC

GLEACHER & COMPANY SECURITIES, INC.

RBC CAPITAL MARKETS CORPORATION

GLEACHER PARTNERS LLC

NATWEST FINANCE INC.

NATWEST SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LAZARD FRERES & CO. LLC

PERSHING LLC

RUSSELL & CO

NATIVE NATIONS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2008

Series 63

Date: 6/18/1991

Series 57TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1980

Series 10

Date: 10/9/2000

Series 9

Date: 7/28/2000

Series 24

Date: 1/12/1998

FINRA

Nasdaq Stock Market

Current Firm

IMPERIAL CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IMPERIAL CAPITAL, LLC

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