ME
Mark E. Epstein
MTS SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2274559
ME
Professional summary
Mark Elliot Epstein is a registered financial professional currently at MTS SECURITIES, LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Elliot Epstein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 7, 2008 - Present
MTS SECURITIES, LLC
Office #1: 623 Fifth Avenue 14th Floor, New York, NY 10022BD
CRD#: 104059
New York, NY
Past
August 17, 1999 - January 7, 2008
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
January 1, 1999 - July 29, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/31/2008)
RR
Alaska(3/6/2008)
RR
Arizona(1/7/2008)
RR
Arkansas(3/25/2008)
RR
California(1/7/2008)
RR
Colorado(3/12/2008)
RR
Connecticut(3/28/2008)
RR
Delaware(3/27/2008)
RR
District of Columbia(3/20/2008)
RR
Florida(6/10/2008)
RR
Georgia(3/17/2008)
RR
Hawaii(4/30/2008)
RR
Idaho(3/5/2008)
RR
Illinois(3/19/2008)
RR
Indiana(6/3/2008)
RR
Iowa(3/12/2008)
RR
Kansas(4/1/2008)
RR
Kentucky(5/19/2008)
RR
Louisiana(3/11/2008)
RR
Maine(6/2/2008)
RR
Maryland(3/11/2008)
RR
Massachusetts(3/7/2008)
RR
Michigan(3/11/2008)
RR
Minnesota(3/5/2008)
RR
Mississippi(3/4/2008)
RR
Missouri(3/7/2008)
RR
Montana(3/11/2008)
RR
Nebraska(3/17/2008)
RR
Nevada(3/31/2008)
RR
New Hampshire(4/24/2008)
RR
New Jersey(4/15/2008)
RR
New Mexico(3/24/2008)
RR
New York(1/7/2008)
RR
North Carolina(5/5/2008)
RR
North Dakota(3/24/2008)
RR
Ohio(3/25/2008)
RR
Oklahoma(3/6/2008)
RR
Oregon(5/15/2008)
RR
Pennsylvania(3/7/2008)
RR
Puerto Rico(3/28/2008)
RR
Rhode Island(3/18/2008)
RR
South Carolina(3/11/2008)
RR
South Dakota(3/5/2008)
RR
Tennessee(7/9/2008)
RR
Texas(4/9/2008)
RR
Utah(3/6/2008)
RR
Vermont(3/25/2008)
RR
Virgin Islands(3/10/2008)
RR
Virginia(3/24/2008)
RR
Washington(3/5/2008)
RR
West Virginia(3/11/2008)
RR
Wisconsin(5/12/2008)
RR
Wyoming(3/12/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MTS SECURITIES, LLC
KPS KAPITAL, LLC | MTS SECURITIES, LLC
CRD#: 104059 / SEC#: , 8-52515
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
623 Fifth Avenue 14th Floor, New York, NY 10022
Mailing Address
623 Fifth Avenue 14th Floor, New York, NY 10022
Phone number
(212) 887-2100
Established
Delaware since 08/10/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Red Flags
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