Scott N. Epstein

SRT SECURITIES LLC

Prosper, TX 75078

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CRD#: 4550908

Professional summary

Scott Noel Epstein is a registered financial professional currently at SRT SECURITIES LLC located in Prosper, Texas.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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 Scott Noel 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

February 7, 2018 - Present

SRT SECURITIES LLC

Office #1: 130 N. Preston Rd Unit 214, Prosper, TX 75078

CRD#: 33725

Prosper, TX

Past

February 27, 2018 - November 1, 2018

LEK SECURITIES CORPORATION

CRD#: 33135

NEW CITY, NY

Past

November 6, 2015 - January 9, 2018

LEK SECURITIES CORPORATION

CRD#: 33135

CHICAGO, IL

Past

November 4, 2015 - November 5, 2015

LEK SECURITIES CORPORATION

CRD#: 33135

CHICAGO, IL

Past

December 22, 2011 - October 9, 2015

FCF SECURITIES AND DERIVATIVES LLC

CRD#: 157067

CHICAGO, IL

Past

March 18, 2011 - October 9, 2012

CASEY SECURITIES LLC

CRD#: 35230

GREENBRAE, CA

Past

September 30, 2006 - January 7, 2011

G1 EXECUTION SERVICES, LLC

CRD#: 111528

CHICAGO, IL

Past

November 21, 2002 - September 30, 2006

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

CRD#: 1625

CHICAGO, IL

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
(2/7/2018)

Connecticut
(2/8/2018)

Florida
(7/31/2020)

Illinois
(2/22/2018)

Minnesota
(2/8/2018)

New Jersey
(2/21/2018)

New York
(10/5/2018)

Pennsylvania
(2/8/2018)

Texas
(2/7/2018)

Exams

State Security Law Exam

Series 63

Date: 12/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/9/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/20/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2012

General Securities Principal Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Texas, Inc.

Current Firm

SRT SECURITIES LLC

ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

416 Hawthorne Street, Birmingham, MI 48009

Mailing Address

416 Hawthorne Street, Birmingham, MI 48009

Phone number

(917) 282-4757

Established

Delaware since 05/24/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SRT SECURITIES INC.	MEMBER
FRUCHTER, MICHAEL ALAN	CFO/FINANCIAL & OPERATIONS PRINCIPAL	4202965
TOBIAS, STEPHEN RORY	PRESIDENT, CCO, S.R.O.P. & C.R.O.P.	1267337

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Scott N. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Noel Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEK SECURITIES CORPORATION

LEK SECURITIES CORPORATION

LEK SECURITIES CORPORATION

FCF SECURITIES AND DERIVATIVES LLC

CASEY SECURITIES LLC

G1 EXECUTION SERVICES, LLC

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2006

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/9/2010

Series 7

Date: 11/20/2002

Series 24

Date: 4/17/2012

Cboe Exchange, Inc.

FINRA

NYSE American LLC

NYSE Texas, Inc.

Current Firm

SRT SECURITIES LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SRT SECURITIES LLC

TRUST BUT VERIFY

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