Joseph W. Epstein
Professional summary
Joseph William Epstein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Joseph had worked at 11 firms, which includes TYM SECURITIES INC., GLOBAL FINANCIAL GROUP INC., FIRST NATIONAL EQUITY CORP., VISION INVESTMENT GROUP INC., MEYERS POLLOCK ROBBINS INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, KENSINGTON WELLS INCORPORATED, CONTINENTAL BROKER-DEALER CORP., ROBERT TODD FINANCIAL CORP., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 1997 - August 20, 1997
TYM SECURITIES, INC.
September 19, 1996 - November 1, 1996
GLOBAL FINANCIAL GROUP, INC.
February 1, 1996 - October 4, 1996
FIRST NATIONAL EQUITY, CORP.
June 8, 1995 - November 8, 1995
VISION INVESTMENT GROUP, INC.
February 17, 1995 - June 15, 1995
MEYERS POLLOCK ROBBINS, INC.
October 2, 1993 - February 23, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 2, 1993 - February 23, 1995
EQUITABLE ADVISORS, LLC
June 17, 1993 - September 21, 1993
KENSINGTON WELLS INCORPORATED
November 18, 1991 - May 20, 1993
CONTINENTAL BROKER-DEALER CORP.
February 19, 1991 - October 15, 1991
ROBERT TODD FINANCIAL CORP.
November 29, 1990 - March 5, 1991
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
TYM SECURITIES, INC.
CRD#: 40748 / SEC#: , 8-49181
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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