David J. Talbot
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.
David John Talbot was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2019 - January 30, 2020
ODEON CAPITAL GROUP LLC
October 29, 2003 - November 27, 2007
IHS HEROLD INC.
February 13, 2003 - August 1, 2003
ATLANTIC EQUITIES, LLC
January 28, 2000 - September 30, 2002
BNP PARIBAS SECURITIES CORP.
November 19, 1999 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
July 29, 1991 - June 30, 1997
DEUTSCHE SECURITIES AUSTRALIA, INC.
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 7TO
Date: 5/23/2019
General 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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