William J. Biggart
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.
William Joseph Biggart, who also goes by William J Biggart, Bill Biggart, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 7 firms and has passed the Series 63, Series 7TO, SIE 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
April 8, 2022 - August 19, 2022
ODEON CAPITAL GROUP LLC
March 5, 2018 - April 9, 2020
ROBERT W. BAIRD & CO. INCORPORATED
January 22, 2015 - March 6, 2018
INTL FCSTONE CREDIT TRADING LLC
October 29, 2013 - February 4, 2015
IMPERIAL CAPITAL, LLC
August 5, 2010 - October 24, 2013
CANTOR FITZGERALD & CO.
November 6, 2008 - March 16, 2010
OPPENHEIMER & CO. INC.
April 17, 2001 - January 16, 2004
CIBC WORLD MARKETS CORP.
June 29, 1998 - April 13, 2000
CIBC WORLD MARKETS CORP.
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 7TO
Date: 4/8/2022
General Securities Representative 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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