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Andrew Clark Brummer

Imperial Capital, LLC

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About Andrew Clark Brummer

Andrew Brummer is a financial advisor with over 30 years of experience in the financial services industry. Andrew currently works at Imperial Capital, LLC as a General Securities Principal. Prior to this role, Andrew held positions at BMO Capital Markets Corp., Guggenheim Securities, LLC, Summit Securities Group LLC, BNP Paribas Securities Corp., BNP Capital Markets, LLC, SG Cowen Securities Corporation, Mendham Capital Group, Inc., Chase Securities, Inc., and Lehman Brothers Inc. Andrew is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Principal and holds the Series 3, 7, 24, and 63 licenses. Andrew is also registered as a broker-dealer in multiple states.

Firm Information

Andrew Brummer is currently registered with Imperial Capital, LLC. Imperial Capital, LLC is a Limited Liability Company formed in July 1997. The firm is registered in all 50 states and the District of Columbia. They have been approved for SEC registration and have two Regulatory Event disclosures and one Arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

53

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew Brummer’s Registration & Firm History

NY

04/06/2020 - Present

Imperial Capital, LLC (NEW YORK NY)

NY

12/11/2017 - 01/17/2020

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

NY

08/02/2010 - 12/12/2017

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

02/18/2009 - 07/30/2010

SUMMIT SECURITIES GROUP LLC (NEW YORK NY)

NY

06/19/2000 - 02/09/2009

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

FL

06/14/2000 - 07/20/2000

BNP CAPITAL MARKETS, LLC (MIAMI FL)

NY

12/24/1996 - 06/09/2000

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NJ

03/29/1996 - 10/24/1996

MENDHAM CAPITAL GROUP, INC. (ROSELAND NJ)

MD

04/13/1994 - 01/23/1996

CHASE SECURITIES, INC. (NEW YORK MD)

NY

11/30/1990 - 03/09/1994

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/04/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/15/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/1990

Series 3 - National Commodity Futures Examination

BC

Issued 11/27/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Andrew Clark Brummer.
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