Michael Epstein
Professional Summary
Michael Epstein was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1966 - 2018. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 55, PC, Series 1 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
64 years in the financial services industry
Current & Past Employments
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Current Firm
NORTHEAST SECURITIES, INC. | NORTHEAST SECURITIES, LLC
Contact Information
Established
Delaware since 12/11/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
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
16Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000PC — AMEX Put and Call Exam
Passed Nov 1983Series 1 — Registered Representative Examination
Passed Jan 1962Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1983Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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