Stephen S. 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.
Stephen Samuel Epstein, who also goes by Stephen S Epstein, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1991. Stephen had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2009 - July 18, 2012
BROKERSXPRESS LLC
May 28, 2009 - July 18, 2012
BROKERSXPRESS LLC
December 9, 2008 - May 29, 2009
FIRST ALLIED SECURITIES, INC.
December 9, 2008 - May 29, 2009
FIRST ALLIED SECURITIES, INC.
August 12, 2005 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
August 12, 2005 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
June 25, 1999 - August 29, 2005
MORGAN STANLEY DW INC.
May 27, 1999 - August 29, 2005
MORGAN STANLEY DW INC.
November 27, 1991 - June 3, 1999
UBS FINANCIAL SERVICES 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
Current Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
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.
