Herbert C. Lust
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.
Herbert Cohnfeldt Lust III, who also goes by Herbert C Lust, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1980. Herbert had worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 55, Series 16 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2018 - February 2, 2022
ODEON CAPITAL GROUP LLC
July 12, 2012 - June 12, 2018
CANTOR FITZGERALD & CO.
July 6, 2011 - July 13, 2012
NEWEDGE USA, LLC
July 8, 2009 - June 24, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
January 3, 2001 - March 4, 2002
J.P. MORGAN SECURITIES INC.
April 23, 1998 - May 1, 2001
JPMSI
November 28, 1997 - April 24, 1998
SALOMON BROTHERS INC.
March 19, 1997 - April 24, 1998
CITIGROUP GLOBAL MARKETS INC.
December 19, 1995 - March 3, 1997
LEHMAN BROTHERS INC.
January 11, 1995 - December 4, 1995
ABN AMRO SECURITIES LLC
February 23, 1990 - August 16, 1994
J.P. MORGAN SECURITIES LLC
January 19, 1990 - January 29, 1990
HALCYON INVESTMENTS
October 1, 1985 - July 13, 1988
GRUNTAL & CO., L.L.C.
March 18, 1980 - October 1, 1985
JII SECURITIES INC.
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 55
Date: 5/4/2000
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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