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Home > Financial Services > Stock Brokers > Imperial Capital, Llc
Imperial Capital, Llc
Imperial Capital, Llc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
They are a full service investment bank able to provide service and advice on a broad array of products and situations, their focus is on the below investment grade debt markets, which they believe can offer excellent risk adjusted investment returns for institutional clients.Their professional staff has substantial experience in all facets of investment activity in this sector.Their research and trading operations provide credit and market insight that enables their sophisticated institutional clients to take advantage of the significant valuation anomalies which often exist in the sector. On the investment banking side, their experienced staff of professionals provides small and middle market clients with senior level attention, creative solutions and practical, market grounded judgment.
Their institutional customers are provided direct access to the company’s most recent financial information. This information includes various focus filings and their annual audited financial statement.
Their institutional customers are provided direct access to the company’s trade settlement instructions. If you have transacted business with them and have questions regarding settlement instructions, you will find this to be a very simple and efficient place to obtain such information.
They plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding their employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing their customers to transact business. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Their business continuity plan addresses data back up and recovery; all mission critical systems, financial and operational assessments, alternative communications with customers, employees, and regulators, alternate physical location of employees, critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring their customers prompt access to their funds and securities if they are unable to continue their business.
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