James P. Burke
Professional summary
James Patrick Burke, who also goes by James P Burke, is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Burke's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2021 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022February 1, 2010 - December 9, 2021
COWEN AND COMPANY
January 25, 2008 - December 31, 2009
RAMIUS SECURITIES LLC
July 26, 2005 - December 19, 2007
STRUCTURED CREDIT PARTNERS LLC
July 22, 2005 - December 19, 2007
STRUCTURED ASSET INVESTORS, LLC
April 5, 2004 - December 19, 2007
WELLS FARGO SECURITIES, LLC
October 31, 2000 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
September 23, 1998 - September 28, 2000
GE CAPITAL MARKETS, INC.
October 22, 1996 - April 8, 1997
ALPS DISTRIBUTORS, INC.
October 7, 1994 - April 16, 1996
NATWEST SECURITIES CORPORATION
January 20, 1994 - September 20, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2021)
(11/19/2021)
Exams
Series 79TO
Date: 2/28/2022
Investment Banking Registered Representative 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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