Ernest S. Kaysen
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.
Ernest Scott Kaysen was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1996. Ernest had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2020 - February 11, 2026
ODEON CAPITAL GROUP LLC
May 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
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 ExaminationCurrent 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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