Andrew R. Epstein
Professional summary
Andrew Ross Epstein, who also goes by Andy Ross Epstein, Andy Epstein, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Concord, California.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1982. Andrew has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Ross Epstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2017 - Present
ASSETMARK BROKERAGE, LLC
Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520January 12, 2015 - July 18, 2016
SANCTUARY SECURITIES LLC
February 10, 2011 - April 30, 2013
TRADEWEB DIRECT LLC
December 6, 1994 - December 23, 2008
CHARLES SCHWAB & CO., INC.
May 10, 1993 - November 17, 1994
CITICORP INVESTMENT SERVICES
February 25, 1982 - May 4, 1993
CHARLES SCHWAB & CO., 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
(7/12/2017)
Exams
FINRA
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Company Information
ASSETMARK BROKERAGE, LLC
CRD#: 169804Concord, CA 94520TRUST BUT VERIFY
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