Jonathan R. Epstein

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CRD#: 2305675

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.

Jonathan Ross Epstein was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1993. Jonathan had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 7, 2017 - April 23, 2019

THIRTYNORTH INVESTMENTS, LLC

RIA

CRD#: 155355

NEW ORLEANS, LA

Past

July 27, 2005 - July 18, 2011

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

CHICAGO, IL

Past

September 26, 2002 - April 5, 2005

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

WASHINGTON, DC

Past

March 20, 1995 - April 5, 2005

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

March 15, 1993 - April 19, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THIRTYNORTH INVESTMENTS, LLC

CRD#: 155355 / SEC#: 801-71921

RIA

Registered Investment Advisory firm - (9/23/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/10/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/4/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

THIRTYNORTH INVESTMENTS, LLC

CRD#: 155355 / SEC#: 801-71921

RIA

Registered Investment Advisory firm - (9/23/2010 Approved)

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Contact information

Main Address

1460 Energy Centre 1100 Poydras Street, New Orleans, LA 70163

Mailing Address

Phone number

(504) 528-3685

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THIRTYNORTH INVESTMENTS, LLC ADV BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	371
AUM (Assets Under Management)	$ 343,523,000

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan R. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSOCIATED INVESTMENT SERVICES, INC.

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

THIRTYNORTH INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2017

Series 63

Date: 9/28/2001

Series 6

Date: 3/10/1993

Series 26

Date: 10/4/2002

Current Firm

THIRTYNORTH INVESTMENTS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THIRTYNORTH INVESTMENTS, LLC

TRUST BUT VERIFY

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