Edward F. Dugan
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.
Edward Francis Dugan III, who also goes by Ed Dugan, Edward Francis Dugan, Edward Dugan, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1989. Edward had worked at 7 firms and has passed the Series 63, Series 72, SIE 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
May 6, 2020 - September 15, 2023
ODEON CAPITAL GROUP LLC
May 14, 2008 - March 22, 2019
IMPERIAL CAPITAL, LLC
June 6, 1997 - April 23, 2008
J.P. MORGAN SECURITIES INC.
September 1, 1995 - May 15, 1997
CIBC WOOD GUNDY SECURITIES CORP.
May 9, 1995 - September 1, 1995
THE ARGOSY SECURITIES GROUP, L.P.
June 7, 1994 - March 6, 1995
MILLER TABAK HIRSCH & CO.
September 15, 1989 - May 12, 1994
J.P. MORGAN SECURITIES 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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent 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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