Thomas C. Slaughter
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.
Thomas Caldwell Slaughter, who also goes by Thomas Slaughter, Tim Slaughter, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 11 firms and has passed the Series 63, Series 3 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
March 19, 2012 - March 4, 2013
ODEON CAPITAL GROUP LLC
June 27, 2011 - February 28, 2012
AUERBACH GRAYSON & COMPANY LLC
November 15, 2010 - May 17, 2011
COWEN AND COMPANY
May 18, 2010 - November 17, 2010
COHEN & COMPANY SECURITIES, LLC
January 17, 2008 - May 25, 2010
MAXIM GROUP LLC
July 30, 2007 - January 22, 2008
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 4, 2006 - March 5, 2007
OPPENHEIMER & CO. INC.
February 3, 2003 - June 23, 2006
UBS SECURITIES LLC
January 4, 2001 - January 30, 2003
J.P. MORGAN SECURITIES INC.
April 12, 2000 - May 1, 2001
JPMSI
September 23, 1994 - April 24, 2000
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
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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