Robert H. Grimm
Professional Summary
Robert H. Grimm, who also goes by Robert H Grimm, is a registered financial advisor currently at ODEON CAPITAL GROUP LLC located in New York, New York. Robert is registered as a RR (Registered Representative) and started their career in finance in 1971. Robert has worked at 17 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, SIE, Series 55, Series 000, Series 1, Series 24, Series 27 and Series 40...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert H Grimm
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
55 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ASTERISK CAPITAL LLC | TALON SECURITIES LLC | PBC ADVSIORS LLC | ODEON CAPITAL GROUP LLC | EAS ADVISORS
Contact Information
Main Address
750 Lexington Avenue 27th Fl., New York, NY, 10022Mailing Address
750 Lexington Avenue 27th Fl., New York, NY, 10022Phone Number
(212) 257-6970Established
Delaware since 09/05/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| VAN ALSTYNE, MATHEW HADLOCK | CHIEF COMPLIANCE OFFICER | 5616065 |
| DORFMAN, AARON PAUL | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 6158487 |
| WOLF, THOMAS MICHAEL | SVP/ROSFP | 4509850 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/31/2010)
(8/26/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2009Series 000 — General Securities Principal Examination
Passed Oct 1971Series 1 — Registered Representative Examination
Passed Oct 1971Series 40 — Registered Principal Examination
Passed Oct 1978SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert H. Grimm's CRS (Customer Relationship Summary).
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