Joseph A. Bove
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.
Joseph Anthony Bove was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 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
March 1, 2019 - January 21, 2020
ODEON CAPITAL GROUP LLC
August 23, 2017 - March 22, 2018
THE VERTICAL GROUP
January 11, 2013 - July 31, 2017
RAFFERTY CAPITAL MARKETS, LLC
February 20, 2009 - December 18, 2012
ROCHDALE SECURITIES LLC
May 2, 2008 - February 26, 2009
LADENBURG THALMANN & CO. INC.
September 17, 2004 - May 15, 2008
PUNK, ZIEGEL & COMPANY, L.P.
June 3, 2002 - September 16, 2004
HOEFER & ARNETT, INCORPORATED
November 11, 1997 - May 31, 2002
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
February 28, 1994 - March 27, 1995
PUNK, ZIEGEL & COMPANY, L.P.
April 23, 1993 - January 21, 1994
BAIRD, PATRICK & CO., INC.
September 25, 1991 - February 1, 1992
F.N. WOLF & CO., INC.
April 19, 1991 - August 19, 1991
RYAN BECK & CO.
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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