Dan J. Epstein

EDGELINE CAPITAL.

Los Angeles, CA 90049

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CRD#: 2625166

Professional summary

Dan Jay Epstein, who also goes by Dan J Epstein, is a registered financial professional currently at EDGELINE CAPITAL, LLC. located in Los Angeles, California.

Dan is registered as a RR (Registered Representative) and started their career in finance in 1997. Dan has worked at 4 firms and has passed the Series 63, SIE, Series 52, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan J Epstein

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) - BD

Click below to view Dan Jay Epstein's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 16, 2010 - Present

EDGELINE CAPITAL, LLC.

Office #1: 11726 San Vicente Blvd. Suite 610, Los Angeles, CA 90049

CRD#: 152774

Los Angeles, CA

Past

June 8, 2009 - December 31, 2010

REGENT CAPITAL GROUP, INC.

CRD#: 126881

BEVERLY HILLS, CA

Past

September 17, 2007 - May 26, 2009

DAV/WETHERLY FINANCIAL, L.P.

CRD#: 119951

CHICAGO, IL

Past

August 27, 1997 - September 3, 2003

HEITMAN SECURITIES LLC

CRD#: 13620

CHICAGO, IL

State Registrations and Notice Filings

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

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

California
(2/28/2020)

Florida
(2/28/2020)

Illinois
(1/31/2011)

New York
(1/12/2011)

Texas
(2/22/2020)

Exams

State Security Law Exam

Series 63

Date: 8/13/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 3/8/2012

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 2/13/2012

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/14/2007

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EDGELINE CAPITAL, LLC.

CRD#: 152774 / SEC#: , 8-68475

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11726 San Vicente Blvd. Suite 610, Los Angeles, CA 90049

Mailing Address

11726 San Vicente Blvd. Suite 610, Los Angeles, CA 90049

Phone number

(310) 442-0595

Established

Delaware since 08/26/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EDGELINE CAPITAL PARTNERS, LLC	OWNER
EPSTEIN, DAN JAY	MANAGING DIRECTOR	2625166
FISHER, DAMON SCOTT	PRESIDENT/MANAGING MEMBER	1948121
UCCIFERRI, LOUIE	CCO/FINOP	1156956

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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Firm Stability Insights

Dan J. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dan Jay Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGENT CAPITAL GROUP, INC.

DAV/WETHERLY FINANCIAL, L.P.

HEITMAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/2007

SIE

Date: 10/1/2018

Series 52

Date: 3/8/2012

Series 7

Date: 2/13/2012

Series 22

Date: 9/14/2007

Series 24

Date: 7/26/2010

FINRA

Current Firm

EDGELINE CAPITAL, LLC.

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EDGELINE CAPITAL, LLC.

TRUST BUT VERIFY

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