Eric J. Grimaldi

ODEON CAPITAL ADVISORS LLC

New York, NY 10022

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CRD#: 5906610

Professional summary

Eric Joseph Grimaldi 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.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Eric has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Eric Joseph Grimaldi'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

July 19, 2023 - Present

ODEON CAPITAL ADVISORS LLC

Office #1: 750 Lexington Avenue, New York, NY 10022

RIA

CRD#: 307619

New York, NY

Current

May 10, 2023 - Present

ODEON CAPITAL GROUP LLC

Office #1: 750 Lexington Avenue, New York, NY 10022

CRD#: 148493

New York, NY

Past

November 6, 2019 - October 14, 2022

ODEON CAPITAL GROUP LLC

CRD#: 148493

NEW YORK, NY

Past

January 18, 2019 - May 1, 2019

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

May 11, 2011 - October 21, 2011

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ODEON CAPITAL ADVISORS LLC

JET CAPITAL MANAGEMENT LTD. | SDS FAMILY OFFICE, LLC | ODEON CAPITAL ADVISORS LLC

CRD#: 307619 / SEC#: 801-119007

RIA

Registered Investment Advisory firm - (7/6/2020 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New York
(5/10/2023)

IAR

New York
(7/19/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/18/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/11/2024

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 1/18/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2011

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ODEON CAPITAL ADVISORS LLC

JET CAPITAL MANAGEMENT LTD. | SDS FAMILY OFFICE, LLC | ODEON CAPITAL ADVISORS LLC

CRD#: 307619 / SEC#: 801-119007

RIA

Registered Investment Advisory firm - (7/6/2020 Approved)

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Contact information

Main Address

750 Lexington Avenue, New York, NY 10022

Mailing Address

Phone number

(212) 230-5880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCA ADV PART 2A 03-31-2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 786,046,407

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.

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Firm Stability Insights

Eric J. Grimaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Joseph Grimaldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

ODEON CAPITAL GROUP LLC

ODEON CAPITAL GROUP LLC

NOMURA SECURITIES INTERNATIONAL, INC.

LORD ABBETT DISTRIBUTOR LLC

Primary Firm SEC Registration

ODEON CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2023

Series 63

Date: 2/8/2019

Series 3

Date: 3/11/2024

Series 7TO

Date: 1/18/2019

SIE

Date: 11/21/2018

Series 7

Date: 5/10/2011

FINRA

Nasdaq Stock Market

Current Firm

ODEON CAPITAL ADVISORS LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ODEON CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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