Brian J. Bowes
Professional summary
Brian John Bowes is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian John Bowes's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2019 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022October 5, 2016 - December 4, 2019
STORMHARBOUR SECURITIES LP
April 29, 2016 - October 7, 2016
HILLTOP SECURITIES INC.
October 17, 2013 - April 28, 2016
STORMHARBOUR SECURITIES LP
August 4, 2010 - October 21, 2013
KGS-ALPHA CAPITAL MARKETS, L.P.
May 15, 2009 - July 14, 2010
MISSION CAPITAL LLC
May 7, 2003 - January 22, 2008
UBS SECURITIES LLC
October 16, 2000 - April 24, 2003
CREDIT SUISSE SECURITIES (USA) LLC
March 6, 2000 - October 16, 2000
PERSHING LLC
March 12, 1999 - November 22, 1999
CANTOR FITZGERALD SECURITIES
June 1, 1998 - August 31, 1998
CANTOR FITZGERALD SECURITIES
October 4, 1996 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
January 28, 1995 - February 7, 1996
UBS FINANCIAL SERVICES INC.
October 3, 1994 - January 28, 1995
KIDDER, PEABODY & CO. 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
(12/4/2019)
Exams
FINRA
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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