Eugene F. Kelley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eugene Francis Kelley, who also goes by Jim Kelley, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1988. Eugene had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2022 - October 21, 2024
ODEON CAPITAL GROUP LLC
November 12, 2013 - August 31, 2022
BREAN CAPITAL, LLC
August 29, 2012 - September 13, 2013
DAIWA CAPITAL MARKETS AMERICA INC.
June 1, 2009 - September 5, 2012
MORGAN STANLEY
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
August 12, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 22, 1995 - July 22, 1997
UBS SECURITIES LLC
April 15, 1993 - February 17, 1995
J.P. MORGAN SECURITIES LLC
November 1, 1990 - April 2, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1988 - July 3, 1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ODEON CAPITAL GROUP LLC
CRD#: 148493 / SEC#: , 8-68033
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWARTZBERG, EVAN | EXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL | 4577412 |
| VAN ALSTYNE, MATHEW HADLOCK | EXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL | 5616065 |
| DORFMAN, AARON PAUL | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 6158487 |
| TOLLA, CHRISTOPHER J | CHIEF COMPLIANCE OFFICER/CHIEF INFORMATION OFFICER | 5516420 |
| WOLF, THOMAS MICHAEL | SVP/ROSFP | 4509850 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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