Walter B. Scholl
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.
Walter Brooks Scholl was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1987. Walter had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2019 - December 16, 2020
ODEON CAPITAL GROUP LLC
May 5, 2008 - November 13, 2017
ACCESS SECURITIES, LLC
September 29, 2006 - May 1, 2008
REVERE SECURITIES LLC
September 18, 2000 - May 1, 2008
NEWOAK CAPITAL MARKETS LLC
October 20, 1998 - September 13, 2000
VOYA FINANCIAL ADVISORS, INC.
November 21, 1995 - October 28, 1996
LIBERTY BROKERS
November 17, 1995 - October 22, 1996
TULLETT PREBON FINANCIAL SERVICES LLC
April 6, 1992 - November 9, 1995
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - April 7, 1992
DEALERWEB LLC
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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