Joseph L. 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.
Joseph Lawrence Epstein JR, who also goes by Joseph Lawrence Epstein, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2024 - July 3, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 1, 2020 - April 9, 2025
FRANKLIN DISTRIBUTORS, LLC
April 11, 2019 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
August 25, 1995 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
July 13, 1987 - July 3, 1995
FEDERATED SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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