Caleb Epstein
Professional Summary
Caleb Epstein, who also goes by Caleb Adam Epstein, is a registered financial advisor currently at WALLEYE TRADING LLC located in New York, New York. Caleb is registered as a RR (Registered Representative) and started their career in finance in 1998. Caleb has worked at 3 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Caleb Adam Epstein
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
WALLEYE TRADING LLC
Contact Information
Main Address
401 Lake Street East 3rd Floor, Wayzata, MN 55391Mailing Address
401 Lake Street East 3rd Floor, Wayzata, MN 55391Phone Number
(952) 345-5200Established
Delaware since 04/25/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Caleb Epstein's CRS (Customer Relationship Summary).
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