John A. Oestreicher
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.
John Anthony Oestreicher, who also goes by Jack Oestreicher, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 8 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
October 29, 2018 - June 26, 2019
ODEON CAPITAL GROUP LLC
September 18, 2017 - October 22, 2018
R. SEELAUS & CO., LLC
October 19, 2016 - September 25, 2017
LOOP CAPITAL MARKETS LLC
June 29, 2015 - April 20, 2016
B. RILEY SECURITIES, INC.
October 21, 2013 - May 27, 2015
NATWEST MARKETS SECURITIES INC.
January 3, 2012 - September 18, 2013
CANTOR FITZGERALD & CO.
July 2, 2008 - November 17, 2011
NATWEST MARKETS SECURITIES INC.
September 25, 2000 - June 17, 2008
J.P. MORGAN SECURITIES LLC
December 16, 1994 - September 11, 2000
THE DELAWARE BAY 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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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