Alexander P. Dickson
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.
Alexander Peter Dickson, who also goes by Alexander Dickson, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2003. Alexander had worked at 8 firms and has passed the Series 63 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
February 2, 2012 - July 19, 2013
ODEON CAPITAL GROUP LLC
March 24, 2011 - February 2, 2012
MONTECITO ADVISORS, INC.
September 30, 2008 - March 24, 2011
LEONARD & COMPANY
August 19, 2008 - September 10, 2008
AURA FINANCIAL SERVICES, INC.
September 17, 2007 - May 23, 2008
WORKMAN SECURITIES CORPORATION
June 8, 2007 - June 19, 2007
VFINANCE INVESTMENTS, INC
January 12, 2004 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
November 18, 2003 - December 19, 2003
ARCHER ALEXANDER SECURITIES 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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