Francis M. Cimperman
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.
Francis Mark Cimperman, who also goes by Mark Cimperman, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1984. Francis had worked at 11 firms and has passed the Series 63, SIE, Series 7 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 16, 2018 - March 19, 2021
ODEON CAPITAL GROUP LLC
May 20, 2013 - January 31, 2018
ROBERT W. BAIRD & CO. INCORPORATED
March 3, 2008 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
February 6, 2006 - March 4, 2008
BNY CAPITAL MARKETS INC.
December 22, 2000 - January 30, 2006
INTL FCSTONE CREDIT TRADING LLC
December 23, 1998 - March 15, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
June 29, 1998 - November 23, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
May 6, 1996 - September 2, 1997
SBC WARBURG, INC.
April 27, 1995 - April 18, 1996
SCOTIA CAPITAL (USA) INC.
February 23, 1984 - July 5, 1994
PERSHING 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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