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Stephen Towner Dodd

Imperial Capital, LLC

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About Stephen Towner Dodd

Stephen Dodd is a financial advisor with over 29 years of experience in the industry. Stephen is currently registered with Imperial Capital, LLC. Prior to that, Stephen was a registered representative at R.W. Pressprich & Co., Janney Montgomery Scott LLC, Guggenheim Securities, LLC, Lazard Capital Markets LLC, C & CO/Princeridge LLC, Pali Capital, Inc., Piper Jaffray & Co., Wachovia Capital Markets, LLC, Wachovia Securities, LLC, First Union Capital Markets Corp., and Smith Barney Inc. Stephen has a strong track record of success in the financial services industry and is committed to providing his clients with the highest level of service.

Firm Information

Stephen Dodd 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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Stephen Dodd’s Registration & Firm History

CT

01/16/2024 - Present

Imperial Capital, LLC (Stamford CT)

NY

04/27/2020 - 05/09/2023

R.W.PRESSPRICH & CO. (NEW YORK NY)

NY

11/18/2019 - 03/13/2020

JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)

NY

03/31/2014 - 01/15/2019

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

08/05/2013 - 03/18/2014

LAZARD CAPITAL MARKETS LLC (NEW YORK NY)

NY

02/17/2010 - 08/02/2013

C & CO/PRINCERIDGE LLC (NEW YORK NY)

NY

07/07/2008 - 05/11/2010

PALI CAPITAL, INC. (NEW YORK NY)

NC

06/29/2006 - 04/02/2008

PIPER JAFFRAY & CO. (CHARLOTTE NC)

NC

07/01/2003 - 12/09/2005

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

10/01/1999 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

02/02/1998 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NC

05/08/1996 - 02/02/1998

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NJ

08/29/1995 - 11/08/1995

FREEMAN SECURITIES COMPANY, INC. (JERSEY CITY NJ)

NY

11/18/1994 - 05/25/1995

BANCA IMI SECURITIES CORP. (NEW YORK NY)

NY

11/02/1990 - 09/07/1994

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/07/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/28/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/31/1990

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 Stephen Towner Dodd.
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