Kevin J. Littleton
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.
Kevin Julian Littleton, who also goes by Kevin J Littleton, Kevin Littleton, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2007. Kevin had worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55 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
March 27, 2023 - January 17, 2024
ODEON CAPITAL GROUP LLC
April 26, 2022 - March 31, 2023
BNP PARIBAS SECURITIES CORP.
May 10, 2019 - March 18, 2022
BOFA SECURITIES, INC.
May 30, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2017 - June 8, 2018
WELLS FARGO SECURITIES, LLC
September 8, 2009 - July 6, 2017
GOLDMAN SACHS & CO. LLC
August 30, 2007 - September 4, 2009
UBS SECURITIES 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/24/2007
Limited Representative-Equity Trader ExamCurrent 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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