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BA

Bret M. Ackerman

Some features on this profile are disabled
CRD#: 4449836
BA

Professional summary

Bret Michael Ackerman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bret is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Bret had worked at 5 firms, which includes ODEON CAPITAL GROUP LLC, STORMHARBOUR SECURITIES LP, MF GLOBAL INC., BARCLAYS CAPITAL INC., J.P. MORGAN SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 2, 2011 - April 7, 2014

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

December 2, 2009 - April 15, 2011

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

July 17, 2008 - September 22, 2009

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

September 25, 2006 - October 26, 2007

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 24, 2001 - October 5, 2006

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/26/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2001
General Securities Representative Examination

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SCHWARTZBERG, EVANEXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL4577412
VAN ALSTYNE, MATHEW HADLOCKEXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL5616065
DORFMAN, AARON PAULFINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER6158487
TOLLA, CHRISTOPHER JCHIEF COMPLIANCE OFFICER/CHIEF INFORMATION OFFICER5516420
WOLF, THOMAS MICHAELSVP/ROSFP4509850

Disclosures

Regulatory Event5

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.

Company Information

ODEON CAPITAL GROUP LLC

CRD#: 148493

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