Noel E. Brennan
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.
Noel Edward Brennan, who also goes by Mckenzie Brennan, Noel E Brennan, Noel Mckenzie, was a registered financial professional .
Noel is a previously registered financial professional and started their career in finance in 1989. Noel had worked at 9 firms and has passed the Series 63, SIE, Series 31 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
October 23, 2017 - April 9, 2018
ODEON CAPITAL GROUP LLC
June 1, 2016 - October 23, 2017
CANTOR FITZGERALD & CO.
July 25, 2013 - January 7, 2015
WELLS FARGO SECURITIES, LLC
May 19, 2010 - July 10, 2013
UBS SECURITIES LLC
November 21, 2005 - March 10, 2006
CHASE INVESTMENT SERVICES CORP.
April 26, 2004 - January 14, 2005
CHASE INVESTMENT SERVICES CORP.
July 22, 2002 - September 23, 2003
PRIMESHARES (NEW YORK) - CAPITAL MARKETS, LLC
February 19, 1998 - March 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 1995 - October 23, 1996
YAMAICHI INTERNATIONAL (AMERICA) INC.
March 8, 1989 - November 21, 1989
ATALANTA SOSNOFF MANAGEMENT, 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
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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