Jerome B. Keating

IMPERIAL CAPITAL

Palm Beach Gardens, FL 33410

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CRD#: 847348

Professional summary

Jerome Bernard Keating is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Palm Beach Gardens, Florida.

Jerome is registered as a RR (Registered Representative) and started their career in finance in 1978. Jerome has worked at 14 firms and has passed the Series 66, SIE and Series 7 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 Jerome Bernard Keating'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

May 12, 2022 - Present

IMPERIAL CAPITAL, LLC

Office #1: 3801 Pga Boulevard Suite 603, Palm Beach Gardens, FL 33410

CRD#: 43744

Palm Beach Gardens, FL

Past

May 4, 2020 - June 8, 2022

HILLTOP SECURITIES INC.

CRD#: 6220

PALM BEACH GARDENS, FL

Past

May 30, 2019 - April 1, 2020

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

MEMPHIS, TN

Past

September 26, 2016 - May 8, 2019

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

July 6, 2015 - October 6, 2016

MAXIM GROUP LLC

CRD#: 120708

Waitsfield, VT

Past

April 25, 2012 - July 2, 2015

NORTHEAST SECURITIES, LLC

CRD#: 25996

Waitsfield, VT

Past

July 5, 2011 - May 15, 2012

GCFA SECURITIES, LLC

CRD#: 155191

NEW YORK, NY

Past

December 11, 2008 - June 17, 2011

AURIA SERVICES CORP.

CRD#: 27851

WAITSFIELD, VT

Past

July 21, 2008 - November 17, 2008

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

WAITSFIELD, VT

Past

March 7, 2008 - November 17, 2008

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

June 16, 2006 - March 3, 2008

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532

NEW YORK, NY

Past

May 18, 2005 - June 19, 2006

AURIA SERVICES CORP.

CRD#: 27851

NEW YORK, NY

Past

January 1, 1991 - May 11, 2005

MCFADDEN, FARRELL & SMITH, L.P.

CRD#: 26245

NEW YORK, NY

Past

March 23, 1989 - March 21, 1991

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

March 10, 1987 - January 23, 1989

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

November 25, 1985 - March 19, 1986

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

Past

January 3, 1978 - August 26, 1985

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

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
(5/12/2022)

Connecticut
(5/12/2022)

Florida
(5/12/2022)

New Jersey
(5/12/2022)

New York
(5/12/2022)

Vermont
(6/8/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1977

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Jerome B. Keating

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerome Bernard Keating's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

FHN FINANCIAL SECURITIES CORP.

WILLIAM BLAIR

MAXIM GROUP LLC

NORTHEAST SECURITIES, LLC

GCFA SECURITIES, LLC

AURIA SERVICES CORP.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

SAMCO CAPITAL MARKETS, INC.

AURIA SERVICES CORP.

MCFADDEN, FARRELL & SMITH, L.P.

W.A. CAPITAL MARKETS

CHAPDELAINE TULLETT PREBON, LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1977

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

TRUST BUT VERIFY

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