Richard X. Bove
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.
Richard Xavier Bove SR, who also goes by Richard Xavier Bove, Dick Bove, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 15 firms and has passed the Series 7TO, SIE, Series 87, Series 86, Series 16, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2019 - January 26, 2024
ODEON CAPITAL GROUP LLC
April 11, 2018 - February 1, 2019
RAFFERTY CAPITAL MARKETS, LLC
August 23, 2017 - March 22, 2018
THE VERTICAL GROUP
January 11, 2013 - August 15, 2017
RAFFERTY CAPITAL MARKETS, LLC
February 20, 2009 - December 18, 2012
ROCHDALE SECURITIES LLC
May 2, 2008 - February 26, 2009
LADENBURG THALMANN & CO. INC.
September 17, 2004 - May 15, 2008
PUNK, ZIEGEL & COMPANY, L.P.
December 17, 2001 - September 16, 2004
HOEFER & ARNETT, INCORPORATED
January 27, 1994 - December 19, 2001
RAYMOND JAMES & ASSOCIATES, INC.
October 27, 1992 - January 7, 1994
BAIRD, PATRICK & CO., INC.
May 18, 1991 - May 20, 1992
ROBERT THOMAS SECURITIES, INC
December 9, 1988 - May 31, 1991
MORGAN STANLEY DW INC.
May 29, 1987 - December 7, 1988
RAYMOND JAMES & ASSOCIATES, INC.
April 1, 1986 - May 19, 1987
DEUTSCHE BANK SECURITIES INC.
February 15, 1983 - March 27, 1986
LEHMAN BROTHERS INC.
August 3, 1972 - February 24, 1983
SCHRODER & CO. INC.
February 27, 1970 - August 17, 1972
CLARK, DODGE & 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
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 5/10/1966
General Securities Principal ExaminationSeries 1
Date: 5/10/1966
Registered Representative ExaminationSeries 40
Date: 3/26/1973
Registered Principal 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
