Amit Khurana

ODEON CAPITAL GROUP LLC

New York, NY 10022

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CRD#: 4234142

Professional summary

Amit Khurana is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.

Amit is registered as a RR (Registered Representative) and started their career in finance in 2001. Amit has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amit Khurana's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 6, 2009 - Present

ODEON CAPITAL GROUP LLC

Office #1: 750 Lexington Avenue, New York, NY 10022Office #2: 750 Lexington Avenue 27th Fl., New York, NY, 10022

CRD#: 148493

New York, NY

Past

December 5, 2007 - March 31, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 19, 2003 - April 1, 2004

HIGHBRIDGE CAPITAL CORPORATION

CRD#: 30208

GRAND CAYMAN,

Past

August 19, 2003 - April 1, 2004

AUDOBON SECURITIES, INC.

CRD#: 25156

NEW YORK, NY

Past

February 12, 2001 - August 13, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(1/2/2015)

New York
(7/6/2009)

Exams

State Security Law Exam

Series 63

Date: 12/14/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/2010

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ODEON CAPITAL GROUP LLC

ASTERISK CAPITAL LLC | TALON SECURITIES LLC | PBC ADVSIORS LLC | ODEON CAPITAL GROUP LLC | EAS ADVISORS

CRD#: 148493 / SEC#: , 8-68033

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

750 Lexington Avenue 27th Fl., New York, NY, 10022

Mailing Address

750 Lexington Avenue 27th Fl., New York, NY, 10022

Phone number

(212) 257-6970

Established

Delaware since 09/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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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Firm Stability Insights

Amit Khurana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amit Khurana's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

HIGHBRIDGE CAPITAL CORPORATION

AUDOBON SECURITIES, INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/2007

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/4/2007

Series 24

Date: 2/16/2010

FINRA

Nasdaq Stock Market

Current Firm

ODEON CAPITAL GROUP LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ODEON CAPITAL GROUP LLC

TRUST BUT VERIFY

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