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Herman Epstein

Some features on this profile are disabled
CRD#: 201696
HE

Professional summary

Herman Epstein was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Herman is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Herman had worked at 2 firms, which includes TOWER SQUARE SECURITIES INC., INVESTORS ASSOCIATES INC..

top-8-questions

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

March 26, 1974 - March 13, 1987

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
Past

September 15, 1969 - September 22, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, 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
Series 63
Date: 12/11/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/28/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 1
Date: 11/1/1967
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 7/22/1969
General Securities Principal Examination

Current Firm

TS
TOWER SQUARE SECURITIES, INC.
TOWER SQUARE SECURITIES, INC. | TRAVELERS EQUITIES SALES, INC.

CRD#: 833 / SEC#: 801-50585, 8-13752

BD
Terminated by SEC on 11/08/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 01/31/1968
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FUND MANAGEMENT SERVICES PROGRAM DISCLOSURE BROCHURE (3/22/2013)
ADVISOR SELECT PROGRAM WRAP FEE BROCHURE (3/22/2013)
DISCLOSURE BROCHURE FOR THIRD PARTY PROGRAMS (3/22/2013)
MANAGER SELECT PREMIER WRAP FEE BROCHURE (3/22/2013)
MANAGER SELECT WRAP FEE BROCHURE (3/22/2013)
FUND SELECT/FUND SELECT PREMIER PROGRAMS DISCLOSURE BROCHURE (3/22/2013)

Direct owners and executive officers

NamePositionCRD#
PLAZA LLCDIRECT OWNER
AQUINO, VIRGELAN ERNESTOCHIEF COMPLIANCE OFFICER, BROKER DEALER2976229
CARRIER, ANDRE THEODORECHIEF OPERATIONS OFFICER2257728
COHN, MARC ALLANCHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER2464524
DWYER, JAMESVICE PRESIDENT, LICENSING AND REGISTRATION
FORGET, ELIZABETH MARYDIRECTOR2767945
HALPERIN, JEFFREY PAULANTI-MONEY LAUNDERING OFFICER2899327
LACEK, MICHAEL JCHIEF LEGAL OFFICER
MARKHAM, CRAIG WILLIAMPRESIDENT AND DIRECTOR1383638
MARTINEZ, JOHN GREGORYVICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL2210722
TORRES, ISAACSECRETARY

Disclosures

Regulatory Event10
Arbitration1
Bond2

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.

Company Information

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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