Dara H. 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.
Dara H Epstein, who also goes by Dara Heather Epstein, was a registered financial professional .
Dara is a previously registered financial professional and started their career in finance in 2001. Dara had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 7A, Series 25, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2015 - December 20, 2017
QUEST CAPITAL STRATEGIES, INC.
July 1, 2011 - April 30, 2013
SUMMIT EQUITIES, INC.
February 5, 2010 - March 22, 2010
CHASE INVESTMENT SERVICES CORP.
September 24, 2009 - November 2, 2009
REID & RUDIGER LLC
October 23, 2008 - October 8, 2009
MSI FINANCIAL SERVICES, INC.
August 2, 2007 - October 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 13, 2001 - November 28, 2006
MURIEL SIEBERT & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/24/2006
Limited Representative-Equity Trader ExamSeries 7A
Date: 7/31/2002
Floor Broker Representative ExamSeries 25
Date: 1/17/2002
NYSE Trading Assistant ExaminationCurrent Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
