Matthew J. 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.
Matthew Jay Epstein, who also goes by Matthew Jay Epstein Mr., Matthew Jay-stone Epstein, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1999. Matthew had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2021 - May 23, 2024
THIRD SEVEN CAPITAL LLC
September 18, 2019 - December 1, 2021
WAYPOINT DIRECT INVESTMENTS, LLC
July 23, 2018 - July 2, 2019
B. RILEY SECURITIES, INC.
October 14, 2016 - July 26, 2018
WEDBUSH SECURITIES INC.
September 14, 2011 - May 11, 2016
COWEN AND COMPANY
June 16, 2010 - August 30, 2011
GLEACHER & COMPANY SECURITIES, INC.
July 28, 2009 - June 25, 2010
BROADPOINT AMTECH, INC.
July 29, 2002 - July 28, 2009
COWEN AND COMPANY
November 13, 2000 - July 17, 2002
CANACCORD GENUITY LLC
September 23, 1999 - October 18, 2000
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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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