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JE

Jamin M. Epstein

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CRD#: 1897974
JE

Professional summary

Jamin Marlowe Epstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jamin is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Jamin had worked at 5 firms, which includes KOVACK SECURITIES INC., QUICK & REILLY INC., FINANCIAL INVESTMENT ANALYSTS INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 2005 - November 8, 2005

KOVACK SECURITIES INC.

RIA
CRD#: 44848
WEXFORD, PA
Past

September 9, 2004 - November 8, 2005

KOVACK SECURITIES INC.

BD
CRD#: 44848
FT. LAUDERDALE, FL
Past

August 27, 2004 - September 16, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
PITTSBURGH, PA
Past

November 14, 2003 - September 16, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

December 6, 1989 - November 18, 2003

FINANCIAL INVESTMENT ANALYSTS, INC.

BD
CRD#: 16010
PITTSBURGH, PA
Past

December 23, 1988 - April 27, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

December 23, 1988 - April 27, 1989

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/24/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/12/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/22/1988
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

Red Flags

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Company Information

KOVACK SECURITIES INC.

CRD#: 44848

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