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Colin James Ives

Imperial Capital, LLC

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About Colin James Ives

Colin Ives has been active in the financial services industry since 1995. Colin is currently a registered representative with Imperial Capital, LLC located in Stamford, CT. Prior to joining Imperial Capital, LLC, Colin Ives was employed with Cambridge International Securities, LLC, Cowen and Company, CRT Capital Group LLC, Lehman Brothers Inc. and Lehman Government Securities Inc. Colin holds the following licenses: Series 7, Series 24, Series 55, Series 57TO and Series 63.

Firm Information

Colin Ives 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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Colin Ives’s Registration & Firm History

CT

11/02/2020 - Present

Imperial Capital, LLC (Stamford CT)

CT

04/23/2018 - 10/29/2020

CAMBRIDGE INTERNATIONAL SECURITIES, LLC (WESTPORT CT)

CT

05/09/2016 - 04/10/2018

COWEN AND COMPANY (Stamford CT)

CT

01/17/2006 - 05/11/2016

CRT CAPITAL GROUP LLC (STAMFORD CT)

NY

11/16/1994 - 10/11/2005

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

11/16/1994 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

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Licenses & Designations

BC

Issued 04/21/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/15/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/10/1994

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 Colin James Ives.
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