Andrew J. Dobbin
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.
Andrew Jason Dobbin, who also goes by Andy Dobbin, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1981. Andrew had worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2025 - April 20, 2026
ODEON CAPITAL GROUP LLC
November 21, 2023 - January 2, 2025
CREWS & ASSOCIATES, INC.
July 11, 2023 - November 2, 2023
AMERIVET SECURITIES, INC.
May 1, 2018 - May 1, 2023
R.W.PRESSPRICH & CO.
May 9, 2016 - February 22, 2018
COWEN AND COMPANY
October 20, 2014 - May 11, 2016
CRT CAPITAL GROUP LLC
September 15, 2011 - July 9, 2014
SWEDBANK SECURITIES US, LLC
August 2, 1990 - October 11, 1995
RODMAN & RENSHAW INC.
July 9, 1987 - October 17, 1989
QUADREX SECURITIES CORPORATION
March 10, 1986 - February 11, 1987
WOLFE & HURST SECURITIES INC.
July 14, 1982 - October 18, 1985
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1981 - July 19, 1982
J. B. HANAUER & CO.
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 52TO
Date: 7/11/2023
Municipal Securities Representative ExaminationCurrent 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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