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JO

Jose E. Ortega Bajos

IMPERII SECURITIES LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 7391902
JO

Professional summary

Jose E Ortega Bajos is a registered financial professional currently at IMPERII SECURITIES LLC located in San Francisco, California.

Jose is registered as a RR (Registered Representative) and started their career in finance in 2022. Jose has worked at 2 firms and has passed the Series 63, Series 79TO and SIE 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 Jose E Ortega Bajos's 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 12, 2024 - Present

IMPERII SECURITIES LLC

Office #1: 580 California Street Suite 1200, San Francisco, CA 94104
BD
CRD#: 315756
San Francisco, CA
Past

August 13, 2022 - October 25, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
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
New York
(4/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/13/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IS
IMPERII SECURITIES LLC
IMPERII PARTNERS | IMPERII SECURITIES LLC

CRD#: 315756 / SEC#: , 8-70817

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
580 California Street Suite 1200, San Francisco, CA 94104
Mailing Address
580 California Street Suite 1200, San Francisco, CA 94104
Phone number
(415) 489-0827
Established
Delaware since 03/30/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IMPERII PARTNERS LLCSOLE OWNER
COLLINS, ELIZABETH SARAHFINOP4714831
SCUDERI, ANTHONY CHRISTOPHERMANAGING MEMBER, CCO4801031

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

IMPERII SECURITIES LLC

CRD#: 315756San Francisco, CA 94104

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