Joel C. Falk
Professional summary
Joel Curtis Falk is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.
Joel is registered as a RR (Registered Representative) and started their career in finance in 1986. Joel has worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joel Curtis Falk's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2011 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022January 3, 2011 - August 4, 2011
KNIGHT CAPITAL AMERICAS, L.P.
December 6, 2010 - January 3, 2011
KNIGHT LIBERTAS LLC
May 6, 2010 - October 27, 2010
KNIGHT LIBERTAS LLC
June 15, 2009 - March 8, 2010
RAFFERTY CAPITAL MARKETS, LLC
July 22, 2002 - January 18, 2008
NEWOAK CAPITAL MARKETS LLC
October 9, 2001 - May 13, 2002
BANC ONE CAPITAL MARKETS, INC.
June 18, 1999 - December 18, 2001
WILLIAM BLAIR
October 2, 1995 - July 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 30, 1990 - October 12, 1995
WILLIAM BLAIR
August 15, 1989 - September 25, 1990
PACIFIC SECURITIES, INC.
February 28, 1989 - July 13, 1989
PRAGER & CO., LLC
May 21, 1986 - January 18, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2011)
(9/8/2011)
(9/19/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/29/2000
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 |
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