Andrew M. Lefberg
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.
Andrew Marc Lefberg, who also goes by Andrew M Lefberg, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7, Series 87, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2020 - November 18, 2022
ODEON CAPITAL GROUP LLC
February 2, 2018 - January 11, 2019
CANTOR FITZGERALD & CO.
March 1, 2010 - January 31, 2011
TICONDEROGA SECURITIES LLC
March 21, 2006 - May 6, 2010
PALI CAPITAL, INC.
August 24, 2005 - September 6, 2005
TAFFERER TRADING, LLC
August 4, 2003 - April 4, 2005
GOLDMAN SACHS & CO. LLC
March 6, 2002 - April 3, 2002
LADENBURG CAPITAL MANAGEMENT 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/29/2005
Limited Representative-Equity Trader ExamCurrent 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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