Alan M. Gelman
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.
Alan Martin Gelman was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 15 firms and has passed the Series 63 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
August 22, 2013 - October 3, 2013
ODEON CAPITAL GROUP LLC
April 5, 2010 - May 1, 2013
SEAPORT GLOBAL SECURITIES LLC
January 4, 2007 - March 1, 2010
AURIA SERVICES CORP.
April 5, 2004 - February 1, 2005
CANTOR FITZGERALD & CO.
May 21, 1998 - April 19, 2004
ADVEST, INC.
November 19, 1990 - June 15, 1998
GRUNTAL & CO., L.L.C.
July 11, 1990 - November 15, 1990
JESUP & LAMONT SECURITIES CO., INC.
January 22, 1990 - July 12, 1990
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
October 5, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
November 23, 1988 - January 30, 1990
J. T. MORAN & CO., INC.
August 6, 1987 - November 30, 1988
GLEACHER & COMPANY SECURITIES, INC.
December 16, 1985 - May 22, 1986
LADENBURG THALMANN & CO. INC.
April 10, 1985 - December 19, 1985
KUHNS BROTHERS & LAIDLAW, INC.
December 27, 1984 - April 8, 1985
CRALIN & CO., 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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