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Kristin Foley

Imperial Capital, LLC

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About Kristin Foley

Kristin Foley is a securities professional with over 20 years of experience in the financial services industry. She is currently registered with Imperial Capital, LLC. Kristin holds a Series 7, Series 63, and SIE licenses, and has previously held positions at Santander Investment Securities Inc., CF Global Trading, LLC, and J.P. Morgan Securities Inc. Kristin's career has focused on providing investment advice and guidance to clients.

Firm Information

Kristin Foley 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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Kristin Foley’s Registration & Firm History

NY

09/12/2023 - Present

Imperial Capital, LLC (NEW YORK NY)

NY

02/01/2021 - 01/03/2023

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

NY

03/15/2011 - 01/26/2021

IMPERIAL CAPITAL, LLC (NEW YORK NY)

NY

04/14/2009 - 03/10/2011

CF GLOBAL TRADING, LLC (NEW YORK NY)

NY

10/01/2008 - 12/26/2008

J.P.MORGAN SECURITIES INC. (NEW YORK NY)

NY

05/12/2008 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

09/12/2007 - 05/13/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

CT

06/14/2006 - 05/23/2007

ABN AMRO INCORPORATED (STAMFORD CT)

IL

10/03/2005 - 05/22/2007

LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)

CT

10/28/1997 - 10/04/2005

ABN AMRO INCORPORATED (STAMFORD CT)

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Licenses & Designations

BC

Issued 03/02/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/27/1997

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 Kristin Foley.
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