Robert N. Odem
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.
Robert Nowlin Odem was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - February 15, 2018
FREESTONE CAPITAL MANAGEMENT, LLC
May 16, 2007 - June 18, 2015
OPPENHEIMER & CO. INC.
April 15, 2003 - November 14, 2007
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - June 18, 2015
OPPENHEIMER & CO. INC.
March 3, 1992 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
August 2, 1983 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 26, 1978 - August 8, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
FREESTONE CAPITAL MANAGEMENT, LLC
CRD#: 145711 / SEC#: 801-69073
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 6/19/1974
Registered Representative ExaminationCurrent Firm
FREESTONE CAPITAL MANAGEMENT, LLC
CRD#: 145711 / SEC#: 801-69073
Contact information
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,231 |
| AUM (Assets Under Management) | $ 11,493,619,610 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/16/2025 | ||
| 11/21/2024 | ||
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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