William A. Featherston
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.
William Anthony Featherston was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 000, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2013 - December 6, 2018
ODEON CAPITAL GROUP LLC
August 25, 2010 - July 9, 2013
ISI CAPITAL, LLC
March 9, 2009 - August 27, 2010
MCMAHAN SECURITIES CO. L.P.
April 3, 2008 - March 2, 2009
SOUTHRIDGE INVESTMENT GROUP LLC
October 19, 2004 - January 17, 2008
NEWOAK CAPITAL MARKETS LLC
January 24, 2000 - October 15, 2004
CBA SECURITIES LLC
June 21, 1995 - January 24, 2000
GREENWICH HIGH YIELD LLC
April 13, 1992 - June 15, 1995
CRT CAPITAL GROUP LLC
February 8, 1988 - October 15, 1990
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
February 14, 1980 - January 30, 1988
SCHRODER & CO. INC.
April 30, 1971 - June 24, 1987
E. F. HUTTON & COMPANY INC
September 15, 1969 - March 1, 1979
CREDIT SUISSE SECURITIES (USA) 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 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 000
Date: 4/30/1971
General Securities Principal ExaminationSeries 1
Date: 9/12/1969
Registered Representative ExaminationSeries 8
Date: 1/25/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 11/22/1974
General Securities Principal 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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