Roger P. Daly
Professional summary
Roger Peter Daly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Roger had worked at 9 firms, which includes ODEON CAPITAL GROUP LLC, BREAN CAPITAL LLC, GLEACHER & COMPANY SECURITIES INC., BANC OF AMERICA SECURITIES LLC, BNP PARIBAS SECURITIES CORP., UBS FINANCIAL SERVICES INC., NIKKO ALTERNATIVE ASSET MANAGEMENT INC., CITIGROUP GLOBAL MARKETS INC., SALOMON BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2022 - August 12, 2024
ODEON CAPITAL GROUP LLC
October 10, 2012 - February 11, 2021
BREAN CAPITAL, LLC
April 28, 2009 - July 25, 2012
GLEACHER & COMPANY SECURITIES, INC.
May 13, 2003 - November 30, 2007
BANC OF AMERICA SECURITIES LLC
April 10, 2001 - April 21, 2003
BNP PARIBAS SECURITIES CORP.
March 5, 1999 - November 29, 2000
UBS FINANCIAL SERVICES INC.
January 12, 1998 - September 25, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
October 25, 1996 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
November 19, 1985 - October 3, 1996
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities 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 |
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