Daniel C. Breen
Professional summary
Daniel Clifford Breen, who also goes by Daniel C Breen, 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 13 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Clifford Breen's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2023 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022September 7, 2022 - July 19, 2023
CULVERT CAPITAL LLC
June 7, 2021 - January 3, 2022
WALLACHBETH CAPITAL LLC
July 10, 2017 - January 13, 2021
UNITED FIRST PARTNERS LLC
July 11, 2016 - April 13, 2017
ROBERT W. BAIRD & CO. INCORPORATED
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
April 24, 2012 - April 20, 2015
STERNE, AGEE & LEACH, INC.
October 4, 2004 - November 2, 2011
GOLDMAN SACHS & CO. LLC
January 20, 2003 - September 20, 2004
CHAPDELAINE CORPORATE SECURITIES & CO
November 28, 1997 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
May 5, 1997 - September 1, 1998
SALOMON BROTHERS INC.
March 13, 1996 - May 6, 1997
CHASE INVESTMENT SERVICES CORP.
August 9, 1994 - May 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/8/2006
Limited Representative-Equity Trader ExamFINRA
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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