David A. Castillo
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.
David Alfred Castillo, who also goes by David A Castillo, David Alfred Castillo Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 12 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
January 29, 2014 - October 20, 2016
ODEON CAPITAL GROUP LLC
June 20, 2013 - January 29, 2014
BONWICK CAPITAL PARTNERS, LLC
June 3, 2013 - June 6, 2013
CASTLEOAK SECURITIES, LP
May 16, 2007 - May 17, 2013
FURTHER LANE SECURITIES, L.P.
July 22, 2004 - February 15, 2007
HILLTOP SECURITIES INC.
January 2, 2002 - July 22, 2004
RBC CAPITAL MARKETS, LLC
September 22, 1998 - January 16, 2002
SUTRO & CO. INCORPORATED
July 11, 1997 - October 8, 1998
LADENBURG THALMANN & CO. INC.
May 31, 1991 - August 6, 1997
M. J. WHITMAN, INC.
August 2, 1990 - August 26, 1991
M J WHITMAN & CO., INC
January 30, 1989 - June 28, 1989
LASALLE FINANCIAL SERVICES, INC.
June 23, 1987 - November 3, 1988
CITIGROUP GLOBAL MARKETS 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
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