Rosemary Sisson
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.
Rosemary Sisson was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1992. Rosemary had worked at 13 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 16, Series 7 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
February 13, 2023 - April 16, 2025
ODEON CAPITAL GROUP LLC
August 13, 2019 - February 24, 2022
COWEN AND COMPANY
April 1, 2014 - August 14, 2019
GUGGENHEIM SECURITIES, LLC
January 11, 2012 - March 18, 2014
FM PARTNERS HOLDINGS LLC
July 29, 2010 - April 27, 2011
KNIGHT CAPITAL AMERICAS, L.P.
November 5, 2007 - December 31, 2010
KNIGHT LIBERTAS LLC
July 12, 2004 - August 1, 2007
BNP PARIBAS SECURITIES CORP.
March 9, 2000 - July 8, 2004
UBS SECURITIES LLC
January 29, 1999 - February 28, 2000
ROBERTSON STEPHENS, INC.
October 1, 1997 - January 11, 1999
BANC OF AMERICA SECURITIES LLC
April 9, 1997 - October 1, 1997
MONTGOMERY SECURITIES
June 10, 1996 - April 25, 1997
CIBC WOOD GUNDY SECURITIES CORP.
November 5, 1992 - February 5, 1996
SALOMON BROTHERS 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
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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