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DJ

David D. Jordan

ODEON CAPITAL GROUP LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2260956
DJ

Professional summary

David Donicio Jordan is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Donicio Jordan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 18, 2009 - Present

ODEON CAPITAL GROUP LLC

Office #1: 750 Lexington Avenue, New York, NY 10022Office #2: 750 Lexington Avenue 27th Fl., New York, NY, 10022
BD
CRD#: 148493
New York, NY
Past

December 9, 2008 - April 3, 2009

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
NEW YORK, NY
Past

July 1, 2008 - December 3, 2008

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

March 14, 2005 - August 15, 2008

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

December 11, 2003 - October 7, 2004

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

August 7, 1995 - June 27, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

June 9, 1994 - February 2, 1995

TEEVAN & CO., INC.

BD
CRD#: 30839
RUMSON, NJ
Past

January 17, 1994 - March 1, 1994

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/29/2010)
RR
New Jersey
(1/2/2015)
RR
New York
(5/19/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/5/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/14/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/30/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

OC
ODEON CAPITAL GROUP LLC
ASTERISK CAPITAL LLC | TALON SECURITIES LLC | PBC ADVSIORS LLC | ODEON CAPITAL GROUP LLC | EAS ADVISORS

CRD#: 148493 / SEC#: , 8-68033

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
750 Lexington Avenue 27th Fl., New York, NY, 10022
Mailing Address
750 Lexington Avenue 27th Fl., New York, NY, 10022
Phone number
(212) 257-6970
Established
Delaware since 09/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SCHWARTZBERG, EVANEXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL4577412
VAN ALSTYNE, MATHEW HADLOCKEXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL5616065
DORFMAN, AARON PAULFINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER6158487
TOLLA, CHRISTOPHER JCHIEF COMPLIANCE OFFICER/CHIEF INFORMATION OFFICER5516420
WOLF, THOMAS MICHAELSVP/ROSFP4509850

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ODEON CAPITAL GROUP LLC

CRD#: 148493New York, NY 10022

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