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Jerome Bernard Keating

Imperial Capital, LLC

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About Jerome Bernard Keating

Jerome Bernard Keating is a financial advisor with Imperial Capital, LLC. Jerome has been in the financial industry since September 2, 1979. Jerome holds Series 7 and Series 66 registrations. Jerome is registered to conduct business in California, Connecticut, Florida, New Jersey, New York, and Vermont. Prior to Imperial Capital, LLC, Jerome was associated with Hilltop Securities Inc., FHN Financial Securities Corp., William Blair, Maxim Group LLC, Northeast Securities, Inc., Profectus Investments, LLC, Fieldstone Services Corp., MBSC Securities Corporation, Samco Capital Markets, Inc., McFadden, Farrell & Smith, L.P., Murphy & Durieu, and Chapdelaine & Co.

Firm Information

Jerome Keating 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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Jerome Keating’s Registration & Firm History

FL

05/12/2022 - Present

Imperial Capital, LLC (Palm Beach Gardens FL)

FL

05/04/2020 - 06/08/2022

HILLTOP SECURITIES INC. (PALM BEACH GARDENS FL)

TN

05/30/2019 - 04/01/2020

FHN FINANCIAL SECURITIES CORP. (MEMPHIS TN)

IL

09/26/2016 - 05/08/2019

WILLIAM BLAIR (CHICAGO IL)

VT

07/06/2015 - 10/06/2016

MAXIM GROUP LLC (Waitsfield VT)

VT

04/25/2012 - 07/02/2015

NORTHEAST SECURITIES, INC. (Waitsfield VT)

NY

07/05/2011 - 05/15/2012

PROFECTUS INVESTMENTS, LLC (NEW YORK NY)

VT

12/11/2008 - 06/17/2011

FIELDSTONE SERVICES CORP. (WAITSFIELD VT)

NY

03/07/2008 - 11/17/2008

MBSC SECURITIES CORPORATION (NEW YORK NY)

NY

06/16/2006 - 03/03/2008

SAMCO CAPITAL MARKETS, INC. (NEW YORK NY)

NY

05/18/2005 - 06/19/2006

FIELDSTONE SERVICES CORP. (NEW YORK NY)

NY

01/01/1991 - 05/11/2005

MCFADDEN, FARRELL & SMITH, L.P. (NEW YORK NY)

NY

03/23/1989 - 03/21/1991

MURPHY & DURIEU (NEW YORK NY)

NY

03/10/1987 - 01/23/1989

CHAPDELAINE & CO. (NEW YORK NY)

NA

11/25/1985 - 03/19/1986

MKI SECURITIES CORP.

NA

01/03/1978 - 08/26/1985

MKI SECURITIES CORP.

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Licenses & Designations

BOTH

Issued 07/10/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1977

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 Jerome Bernard Keating.
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