Stephen M. Odonnell
Professional summary
Stephen Michael Odonnell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Stephen had worked at 12 firms, which includes AUERBACH POLLAK & RICHARDSON INC., TRAUTMAN WASSERMAN & COMPANY INC., WEST AMERICA SECURITIES CORP, GLOBAL STRATEGIES GROUP INC., EURO-ATLANTIC SECURITIES INC., A.S. GOLDMEN & CO. INC., HANOVER STERLING & COMPANY LTD., MARSH BLOCK & CO. INC., BERKELEY SECURITIES CORPORATION, TD AMERITRADE INC., LEHMAN BROTHERS INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2000 - December 14, 2001
AUERBACH, POLLAK & RICHARDSON INC.
February 11, 1999 - July 18, 2000
TRAUTMAN WASSERMAN & COMPANY, INC.
September 26, 1997 - December 11, 1998
WEST AMERICA SECURITIES CORP
May 8, 1997 - June 27, 1997
GLOBAL STRATEGIES GROUP, INC.
November 6, 1995 - May 14, 1997
EURO-ATLANTIC SECURITIES INC.
April 11, 1995 - October 3, 1995
A.S. GOLDMEN & CO., INC.
August 1, 1994 - February 23, 1995
HANOVER, STERLING & COMPANY LTD.
August 16, 1993 - June 24, 1994
MARSH, BLOCK & CO. INC.
July 7, 1993 - August 20, 1993
BERKELEY SECURITIES CORPORATION
April 12, 1991 - July 3, 1991
TD AMERITRADE, INC.
October 24, 1989 - April 27, 1990
LEHMAN BROTHERS INC.
April 18, 1989 - October 20, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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