Brian P. Jepsen

TORA TRADING SERVICES

New York, NY 10005

Some features on this profile are disabled

CRD#: 4340801

Professional summary

Brian Paul Jepsen is a registered financial professional currently at TORA TRADING SERVICES, LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 11, Series 3, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Brian Paul Jepsen'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

November 28, 2005 - Present

TORA TRADING SERVICES, LLC

Office #1: 28 Liberty Street Floor 57, New York, NY 10005

CRD#: 135423

New York, NY

Past

June 11, 2001 - August 2, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 21, 2001 - April 23, 2001

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

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
(1/20/2009)

New York
(2/28/2024)

Exams

State Security Law Exam

Series 63

Date: 11/7/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/2006

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 11/26/2005

Assistant Representative-Order Processing Qualification Exam

General Industry/Product Exam

Series 3

Date: 2/24/2004

National Commodity Futures Examination

Principal/Supervisory Exam

Series 4

Date: 5/4/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TORA TRADING SERVICES, LLC

CRD#: 135423 / SEC#: , 8-66925

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

28 Liberty Street 58fl, New York, NY 10005

Mailing Address

28 Liberty Street Floor 56, New York, NY 10005

Phone number

(650) 513-6700

Established

Delaware since 01/27/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TORA TRADING SERVICES, LTD.	SOLE OWNER
BALTOVSKI, ALEXANDER	FINOP	2350828
CUTLER, SETH	DIRECTOR	2594208
IAMSCICOV WEIGL, KATARINA	SECRETARY	7893210
IAMSCICOV WEIGL, KATARINA	CHIEF COMPLIANCE OFFICER	7893210
MALONEY, MICHAEL G	MANAGING PRINCIPAL, DIRECTOR	5728423
SIBLEY, JOHN HOLDEN	DIRECTOR	5781488

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian P. Jepsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Paul Jepsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL EQUITY GROUP, LLC

MANULIFE WOOD LOGAN, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/18/2006

Series 11

Date: 11/26/2005

Series 3

Date: 2/24/2004

Series 4

Date: 5/4/2007

Series 24

Date: 3/24/2007

FINRA

Current Firm

TORA TRADING SERVICES, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TORA TRADING SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors