Lee M. Epstein
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.
Lee Maurice Epstein, who also goes by Lee M Epstein, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1984. Lee had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 53 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
January 2, 2015 - April 4, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
February 14, 2014 - December 31, 2014
GBS FINANCIAL CORP.
December 23, 2013 - December 31, 2013
GBS FINANCIAL CORP.
December 23, 2013 - February 11, 2014
GBS FINANCIAL CORP.
November 26, 2013 - April 4, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
June 28, 2011 - December 13, 2013
GBS FINANCIAL CORP.
June 27, 2011 - December 13, 2013
GBS FINANCIAL CORP.
December 20, 1995 - July 8, 2011
MONEY MARKET 1 INSTITUTIONAL INVESTMENT DEALER
July 31, 1993 - March 5, 1996
CITIGROUP GLOBAL MARKETS INC.
May 29, 1984 - July 31, 1993
LEHMAN BROTHERS 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 15
Date: 9/4/1986
Foreign Currency Options ExaminationSeries 5
Date: 7/17/1986
Interest Rate Options ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
