David H. 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.
David Henry Epstein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2019 - August 6, 2019
ZEUS FINANCIAL, LLC
September 26, 2018 - January 23, 2019
PRUCO SECURITIES, LLC.
January 13, 2017 - October 24, 2018
ZEUS FINANCIAL, LLC
September 30, 2013 - September 22, 2016
INTERCOASTAL CAPITAL MARKETS, INC.
August 1, 2003 - September 16, 2013
JVB FINANCIAL GROUP, LLC
August 14, 2000 - August 14, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 7, 1994 - October 1, 2000
FIRST UNION BROKERAGE 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
Series 55
Date: 10/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
ZEUS FINANCIAL, LLC
CRD#: 18192 / SEC#: , 8-36214
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUTKEVITS, LETICIA VERA | MEMBER | 6717105 |
| ORCHID BAY FINANCIAL HOLDINGS, LLC | MEMBER | |
| ACHILLE, RALPH | CCO | 5875142 |
| BUTKEVITS, VINCENT WILLIAM III | CEO | 1818987 |
| KUMAR, PARDEEP | MANAGING DIRECTOR | 5214503 |
| PISCATELLI, DAVID ANTHONY | COO | 4027320 |
| SHUMBERG, IVANA MARCELLA | FINOP/PFO | 3167225 |
| TROUSDALE, LAUREN NICOLE | FINOP/POO | 5622407 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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