Patrick E. Downey
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.
Patrick Enz Downey was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1983. Patrick had worked at 13 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2020 - January 27, 2022
ODEON CAPITAL GROUP LLC
June 18, 2019 - March 31, 2020
LPS CAPITAL LLC
March 1, 2016 - December 12, 2018
MIZUHO SECURITIES USA LLC
December 20, 2010 - February 24, 2016
CRT CAPITAL GROUP LLC
September 30, 2010 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2002 - October 12, 2010
BANC OF AMERICA SECURITIES LLC
January 16, 2002 - April 9, 2002
LIBRA SECURITIES, LLC
February 13, 2001 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
August 5, 1996 - November 29, 2000
UBS FINANCIAL SERVICES INC.
December 8, 1992 - July 11, 1996
ABN AMRO SECURITIES LLC
September 19, 1988 - August 11, 1992
MINT BROKERS
May 8, 1985 - July 21, 1988
KMS CORPORATE BROKERS, INC.
September 12, 1983 - October 29, 1984
FORESTERS FINANCIAL SERVICES, 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
Series 7TO
Date: 3/15/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/15/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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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