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JB

Jason S. Bernstein

ODEON CAPITAL GROUP LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4780441
JB

Professional summary

Jason Scott Bernstein, who also goes by Jason Bernstein, is a registered financial professional currently at ODEON CAPITAL GROUP LLC located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2004. Jason has worked at 6 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason Bernstein

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 Jason Scott Bernstein'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

April 29, 2023 - Present

ODEON CAPITAL GROUP LLC

Office #1: 750 Lexington Avenue, New York, NY 10022
BD
CRD#: 148493
New York, NY
Past

October 28, 2016 - March 21, 2023

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

November 12, 2012 - October 19, 2016

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

September 5, 2006 - August 7, 2008

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA
CRD#: 108258
PALM BEACH GARDENS, FL
Past

June 27, 2005 - August 7, 2008

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

August 16, 2004 - November 10, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

July 9, 2004 - August 16, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

RR
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

RR
New York
(4/29/2023)
RR
Utah
(4/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/27/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/30/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/16/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/12/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/16/2013
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 11/9/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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#: 148493New York, NY 10022

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