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EE

Elad Epstein

OBERON SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2731183
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Professional summary

Elad Epstein is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Elad is registered as a RR (Registered Representative) and started their career in finance in 1998. Elad has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 62, Series 27 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elad 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®
None

Experience

Current

January 20, 2005 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022
BD
CRD#: 132598
New York, NY
Past

November 5, 2004 - February 25, 2005

DRAGONFLY CAPITAL PARTNERS, LLC

BD
CRD#: 125199
MT PLEASANT, SC
Past

June 14, 2002 - January 31, 2003

DIVINE CAPITAL MARKETS LLC

BD
CRD#: 118212
NEW YORK, NY
Past

October 17, 2001 - September 5, 2002

CHATSWORTH SECURITIES LLC

BD
CRD#: 40804
GREENWICH, CT
Past

June 14, 1999 - February 21, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 25, 1998 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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
California
(9/1/2005)
RR
Connecticut
(9/1/2005)
RR
Florida
(9/1/2005)
RR
Mississippi
(9/1/2005)
RR
New Jersey
(9/1/2005)
RR
New York
(2/1/2005)
RR
Ohio
(9/2/2005)
RR
Pennsylvania
(9/1/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 9/16/1998
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/25/2005
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OBERON SECURITIES, LLC
OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
445 Park Avenue, Suite 4b, New York, NY 10022
Mailing Address
445 Park Avenue, Suite 4b, New York, NY 10022
Phone number
(212) 386-7080
Established
New York since 04/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OBERON MANAGEMENT, LLCMEMBER
BRESLAWSKY, ADAM SCOTTMANAGER2522542
EPSTEIN, ELADFINOP, MANAGER, ACO2731183
SCHMIDT, NICOLE ALEXANDRACCO, MANAGER2686117

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.

Company Information

OBERON SECURITIES, LLC

CRD#: 132598New York, NY 10022

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