Malcolm B. Epstein

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CRD#: 201719

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.

Malcolm Bradlee Epstein JR, who also goes by Malcolm Bradiee Epstein Jr, was a registered financial professional .

Malcolm is a previously registered financial professional and started their career in finance in 1965. Malcolm had worked at 4 firms and has passed the Series 63, PC, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Malcolm Bradiee Epstein Jr

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

May 17, 2004 - June 27, 2014

SMITH, MOORE & CO.

CRD#: 3441

JEFFERSON CITY, MO

Past

August 8, 1995 - May 24, 2004

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

January 2, 1986 - July 27, 1995

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

December 13, 1965 - January 2, 1986

SCHERCK, STEIN & FRANC, INC.

CRD#: 747

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/9/1965

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/5/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105

Mailing Address

7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

Phone number

(314) 727-5225

Established

Missouri since 12/23/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SMITH MOORE BROCHURE 03-31-2025 (3/31/2025)

WRAP PROGRAM BROCHURE 03-31-2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DEUTSCH, STEWART JAMES JR	PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR	2537447
SCHULTE, TIMOTHY EUGENE	CHAIRMAN OF THE BOARD, DIRECTOR	1869986
RHYNER, RANDALL PAUL	EXECUTIVE VICE PRESIDENT, DIRECTOR	2443274
SCHMIDT, KENT CHARLES	EXECUTIVE VICE PRESIDENT, DIRECTOR	2153325
BRAGG, MATTHEW EDWARD	EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR	2279799
BRODY, AMY LYNN	CHIEF FINANCIAL OFFICER, FINOP	6486826
KRAFT, BARBARA ANN	CHIEF OPERATING OFFICER	1225082
MORAN, DANIEL PATRICK	CHIEF TECHNOLOGY OFFICER	2685632
PERRYMAN, JARET DALIN	CHIEF COMPLIANCE OFFICER	3034594

Regulatory assets under management

Total Number of Accounts	5,353
AUM (Assets Under Management)	$ 2,008,286,156

Disclosures

Regulatory Event	7
Arbitration	2

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Malcolm B. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

SCHERCK, STEIN & FRANC, INC.

Primary Firm SEC Registration

SMITH, MOORE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/1983

PC

Date: 9/2/1977

Series 1

Date: 12/9/1965

Series 8

Date: 11/5/1986

Current Firm

SMITH, MOORE & CO.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SMITH, MOORE & CO.

TRUST BUT VERIFY

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