David 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.
David Monroe Epstein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 4 firms and has passed the Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2016 - June 2, 2020
EPSTEIN AND WHITE FINANCIAL LLC
June 13, 2001 - June 17, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 25, 2001 - May 9, 2001
ASSET PLANNING SOLUTIONS, INC.
June 7, 1994 - December 31, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 28, 1988 - July 27, 1994
PRINCIPAL SECURITIES, 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
Current Firm
EPSTEIN AND WHITE FINANCIAL LLC
CRD#: 281230 / SEC#: 801-110754
Contact information
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.
