Thomas G. Shea
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.
Thomas Gibson Shea, who also goes by Thomas Gibson Shea Jr, Tom Shea Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2014 - November 28, 2014
ODEON CAPITAL GROUP LLC
May 20, 2014 - June 3, 2014
OPPENHEIMER & CO. INC.
October 17, 2012 - April 2, 2014
CASTLEOAK SECURITIES, LP
April 25, 2012 - October 17, 2012
NORTHEAST SECURITIES, LLC
October 14, 2011 - May 15, 2012
GCFA SECURITIES, LLC
December 15, 2009 - August 23, 2011
STORMHARBOUR SECURITIES LP
October 16, 2008 - October 15, 2009
AURIA SERVICES CORP.
October 12, 2000 - August 19, 2008
CRT CAPITAL GROUP LLC
June 1, 2000 - November 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
March 29, 1993 - June 1, 2000
FORUM CAPITAL MARKETS LLC
February 1, 1993 - March 30, 1993
MCMAHAN SECURITIES CO. L.P.
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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