Michael 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.
Michael Epstein was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1966. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 55, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2005 - November 13, 2018
NORTHEAST SECURITIES, LLC
May 13, 2004 - September 21, 2005
UBS FINANCIAL SERVICES INC.
November 18, 1993 - April 16, 2004
BALIS LEWITTES & COLEMAN, INC.
May 7, 1992 - October 21, 1993
MARION BASS SECURITIES CORPORATION
November 3, 1972 - April 28, 1992
WACHOVIA SECURITIES, INC.
August 27, 1971 - November 19, 1972
FALCON FINANCIAL SERVICES, INC.
June 10, 1966 - September 4, 1971
SCHEINMAN HOCHSTIN AND TROTTA INCORPORATED
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
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamPC
Date: 11/15/1983
AMEX Put and Call ExamSeries 1
Date: 1/5/1962
Registered Representative ExaminationSeries 8
Date: 11/15/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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