Seth J. Dorfman
Professional summary
Seth Jerrad Dorfman is a registered financial advisor currently at ODEON CAPITAL ADVISORS LLC located in New York, New York and ODEON CAPITAL GROUP LLC located in New York, New York.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Seth has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Seth Jerrad Dorfman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2023 - Present
ODEON CAPITAL ADVISORS LLC
Office #1: 750 Lexington Avenue, New York, NY 10022June 22, 2011 - Present
ODEON CAPITAL GROUP LLC
Office #1: 750 Lexington Avenue, New York, NY 10022June 8, 2004 - August 13, 2004
BASELINE SECURITIES, INC.
Primary Firm SEC Registration
ODEON CAPITAL ADVISORS LLC
CRD#: 307619 / SEC#: 801-119007
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/14/2017)
(10/30/2023)
(6/29/2011)
(10/30/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
ODEON CAPITAL ADVISORS LLC
CRD#: 307619 / SEC#: 801-119007
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 786,046,407 |
Red Flags
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