Mike 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.
Mike Epstein, who also goes by Michael Arthur Epstein, was a registered financial professional .
Mike is a previously registered financial professional and started their career in finance in 1988. Mike had worked at 2 firms and has passed the Series 63, Series 55, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 1993 - June 27, 2002
DEUTSCHE IXE, LLC
February 16, 1988 - February 20, 1993
ROSENBLATT SECURITIES INC.
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: 9/14/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 1/9/1959
Registered Representative ExaminationSeries 40
Date: 10/6/1977
Registered Principal ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 2 |
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.
