Bruce N. Oderman
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.
Bruce Neil Oderman was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1979. Bruce had worked at 19 firms and has passed the Series 65, Series 63, Series 5, Series 7 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
October 6, 2009 - January 22, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
March 2, 2005 - January 22, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
June 8, 2004 - September 27, 2004
1ST DISCOUNT BROKERAGE, INC.
March 9, 2004 - May 26, 2004
TEJAS SECURITIES GROUP, INC.
August 21, 2002 - September 4, 2002
1ST DISCOUNT BROKERAGE, INC.
October 16, 1995 - August 21, 2002
ACUMENT SECURITIES, INC.
June 26, 1995 - August 11, 1995
PFS INVESTMENTS INC.
October 9, 1991 - May 18, 1995
ACUMENT SECURITIES, INC.
December 5, 1990 - May 7, 1991
FORTRESS SECURITIES, INC.
August 20, 1990 - September 25, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
August 28, 1989 - February 22, 1990
MYSTIC GLOBAL CAPITAL, INC.
January 5, 1989 - September 23, 1989
LEHMAN BROTHERS INC.
November 2, 1988 - January 14, 1989
UBS FINANCIAL SERVICES INC.
March 28, 1988 - October 4, 1988
FIRST INTERREGIONAL EQUITY CORP.
September 21, 1984 - March 12, 1988
CITIGROUP GLOBAL MARKETS INC.
May 23, 1984 - August 29, 1984
ROONEY, PACE INC.
March 2, 1984 - April 30, 1984
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
August 19, 1983 - November 28, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 12, 1982 - August 22, 1983
CITIGROUP GLOBAL MARKETS INC.
April 1, 1982 - August 11, 1982
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
November 7, 1981 - March 10, 1982
RAUSCHER PIERCE REFSNES, INC.
December 31, 1980 - September 25, 1981
SUTRO & CO. INCORPORATED
July 27, 1979 - December 19, 1980
CALIFORNIA MUNICIPAL INVESTORS, INC.
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
