Robert H. Grimm
Professional summary
Robert H. Grimm, who also goes by Robert H Grimm, is a registered financial professional 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 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert H. Grimm's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 2010 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022March 9, 2009 - August 27, 2010
MCMAHAN SECURITIES CO. L.P.
April 3, 2008 - March 2, 2009
SOUTHRIDGE INVESTMENT GROUP LLC
October 19, 2004 - January 17, 2008
NEWOAK CAPITAL MARKETS LLC
May 28, 1999 - October 15, 2004
CBA SECURITIES LLC
July 1, 1998 - October 24, 1998
ABN AMRO SECURITIES LLC
January 23, 1998 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
September 18, 1996 - February 9, 1998
ABN AMRO SECURITIES LLC
August 25, 1993 - July 11, 1996
MILLER TABAK HIRSCH & CO.
April 8, 1992 - September 15, 1993
GLEACHER & COMPANY SECURITIES, INC.
April 10, 1990 - August 20, 1991
LEHMAN SPECIAL SECURITIES INC.
April 10, 1990 - August 20, 1991
LEHMAN GOVERNMENT SECURITIES INC.
April 10, 1990 - August 20, 1991
LEHMAN BROTHERS INC.
August 4, 1988 - December 23, 1988
SOUNDVIEW CAPITAL LIMITED PARTNERSHIP
September 20, 1973 - March 22, 1974
STUART BROTHERS
February 15, 1972 - August 23, 1973
CANTOR FITZGERALD & CO.
October 27, 1971 - February 14, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 25, 1971 - October 7, 1986
E. F. HUTTON & COMPANY 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
(8/31/2010)
(8/26/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/18/2009
Limited Representative-Equity Trader ExamSeries 000
Date: 10/25/1971
General Securities Principal ExaminationSeries 1
Date: 10/25/1971
Registered Representative ExaminationSeries 40
Date: 10/23/1978
Registered Principal ExaminationFINRA
Nasdaq Stock Market
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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