Remington R. Keating
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.
Remington Radel Keating, who also goes by Remy Keating, was a registered financial professional .
Remington is a previously registered financial professional and started their career in finance in 1997. Remington had worked at 9 firms and has passed the Series 63, 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
June 29, 2017 - August 1, 2018
ODEON CAPITAL GROUP LLC
June 5, 2017 - June 26, 2017
AEGIS CAPITAL CORP.
October 13, 2015 - May 31, 2017
DEMATTEO RESEARCH LLC
September 7, 2011 - November 13, 2012
HRC FUND ASSOCIATES, LLC
May 12, 2009 - November 23, 2009
PCS DUNBAR SECURITIES, LLC
March 28, 2007 - December 31, 2008
PCS SECURITIES, INC.
October 18, 2006 - January 22, 2007
WM SMITH & CO.
April 16, 1999 - May 17, 2000
KAUFMAN BROS., L.P.
March 25, 1999 - April 16, 1999
KAUFMAN BROS., L.P.
December 8, 1997 - March 29, 1999
SOUNDVIEW TECHNOLOGY CORPORATION
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
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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