Daniel S. Frommer

ODEON CAPITAL GROUP LLC

New York, NY 10022

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CRD#: 2504759

Professional summary

Daniel Stuart Frommer, who also goes by Daniel Stuart Frummer, is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Stuart Frummer

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Stuart Frommer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 18, 2024 - Present

ODEON CAPITAL GROUP LLC

Office #1: 750 Lexington Avenue, New York, NY 10022

CRD#: 148493

New York, NY

Past

September 14, 2016 - February 26, 2020

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

May 12, 2014 - July 20, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

May 1, 2009 - November 7, 2013

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 13, 1996 - June 12, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 21, 1994 - August 26, 1996

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(11/19/2024)

Exams

State Security Law Exam

Series 63

Date: 10/23/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/17/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/5/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/20/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/2024

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ODEON CAPITAL GROUP LLC

ASTERISK CAPITAL LLC | TALON SECURITIES LLC | PBC ADVSIORS LLC | ODEON CAPITAL GROUP LLC | EAS ADVISORS

CRD#: 148493 / SEC#: , 8-68033

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

750 Lexington Avenue 27th Fl., New York, NY, 10022

Mailing Address

750 Lexington Avenue 27th Fl., New York, NY, 10022

Phone number

(212) 257-6970

Established

Delaware since 09/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Daniel S. Frommer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Stuart Frommer's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNP PARIBAS SECURITIES CORP.

NOMURA SECURITIES INTERNATIONAL, INC.

UBS SECURITIES LLC

J.P. MORGAN SECURITIES LLC

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/2024

SIE

Date: 10/17/2024

Series 55

Date: 10/5/2001

Series 7

Date: 9/20/1994

Series 24

Date: 12/31/2024

FINRA

Nasdaq Stock Market

Current Firm

ODEON CAPITAL GROUP LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ODEON CAPITAL GROUP LLC

TRUST BUT VERIFY

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