Henry G. Levy
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.
Henry Gilbert Levy, who also goes by Henry Levy, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1994. Henry had worked at 13 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
January 18, 2017 - July 20, 2017
ODEON CAPITAL GROUP LLC
January 7, 2014 - April 4, 2014
CANACCORD GENUITY LLC
April 12, 2013 - September 10, 2013
BRAVER STERN SECURITIES LLC
July 2, 2012 - November 26, 2012
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
October 3, 2008 - January 3, 2011
KNIGHT LIBERTAS LLC
October 8, 2003 - September 17, 2008
LEHMAN BROTHERS INC.
February 19, 2003 - October 7, 2003
COWEN AND COMPANY
August 31, 2000 - December 9, 2002
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
January 4, 1999 - October 20, 2000
U.S. BANCORP INVESTMENTS, INC.
March 4, 1998 - January 4, 1999
LIBRA INVESTMENTS, INC.
September 27, 1996 - July 1, 1997
ALEX. BROWN & SONS INCORPORATED
August 23, 1994 - October 10, 1996
BDS SECURITIES LLC
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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