Neil R. 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.
Neil Robert Epstein, who also goes by Neil R Epstein, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1994. Neil had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2016 - July 11, 2017
THE LEADERS GROUP, INC.
June 1, 2007 - February 16, 2012
PSA FINANCIAL ADVISORS INC
June 1, 2007 - February 16, 2012
PSA EQUITIES, INC.
March 24, 2004 - May 21, 2007
NEW ENGLAND SECURITIES
May 17, 2001 - May 21, 2007
NEW ENGLAND SECURITIES
August 16, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 16, 1994 - May 11, 2001
SIGNATOR INVESTORS, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
