Ernest S. Kaysen
Professional summary
Ernest Scott Kaysen is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 1996. Ernest has worked at 8 firms and has passed the Series 63, Series 52TO, Series 82TO, Series 99TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ernest Scott Kaysen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2020 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022May 7, 2009 - September 18, 2020
CROSS POINT CAPITAL LLC
March 27, 2009 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2002 - April 1, 2009
BANC OF AMERICA SECURITIES LLC
October 1, 1999 - November 15, 2000
WELLS FARGO CLEARING SERVICES, LLC
June 18, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 31, 1998 - March 4, 1999
DEUTSCHE BANK SECURITIES INC.
July 15, 1996 - September 2, 1998
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/18/2020)
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(8/3/2021)
(9/18/2020)
(6/6/2023)
(8/2/2021)
(9/18/2020)
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(9/18/2020)
(9/18/2020)
(1/16/2024)
(9/18/2020)
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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