Rishi Sangal
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.
Rishi Sangal was a registered financial professional .
Rishi is a previously registered financial professional and started their career in finance in 2006. Rishi had worked at 8 firms and has passed the Series 63, SIE 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
October 29, 2018 - December 24, 2024
ODEON CAPITAL GROUP LLC
January 16, 2018 - February 28, 2018
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
April 24, 2017 - January 4, 2018
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
June 5, 2013 - November 18, 2016
BNP PARIBAS SECURITIES CORP.
July 2, 2012 - May 13, 2013
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
October 5, 2007 - January 3, 2011
KNIGHT LIBERTAS LLC
November 27, 2006 - September 14, 2007
NATWEST MARKETS SECURITIES INC.
November 15, 2006 - November 20, 2006
COMMERZ MARKETS LLC
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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