Richard M. Fels
Professional summary
Richard Merrill Fels, who also goes by Richard M Fels, is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Merrill Fels's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2017 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022June 18, 2012 - February 10, 2014
STANDARD CREDIT SECURITIES INC.
November 23, 2009 - December 2, 2010
AVATAR CAPITAL GROUP LLC
July 3, 2000 - September 18, 2017
TRADITION SECURITIES AND DERIVATIVES LLC
April 27, 1999 - July 3, 2000
ASIEL & CO. LLC
August 21, 1998 - November 24, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
February 4, 1986 - May 26, 1998
ASIEL & CO. 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
(7/6/2022)
(6/23/2022)
(6/23/2022)
(6/24/2022)
(6/28/2022)
(9/11/2017)
(6/25/2022)
(8/24/2022)
(7/25/2022)
(7/5/2022)
(9/11/2017)
(6/27/2022)
(9/11/2017)
(9/11/2017)
(6/27/2022)
(9/11/2017)
(7/7/2022)
(9/11/2017)
(7/8/2022)
(6/24/2022)
(6/24/2022)
(6/23/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/7/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
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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