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JE

Jonathan M. Epstein

TRADINGBLOCK
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4576373
JE

Professional summary

Jonathan Michael Epstein is a registered financial professional currently at TRADINGBLOCK located in Chicago, Illinois.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2002. Jonathan has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Jonathan Michael Epstein's CRS (Customer Relationship Summary).
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

July 2, 2019 - Present

TRADINGBLOCK

Office #1: 311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
BD
CRD#: 128605
Chicago, IL
Past

January 25, 2012 - August 6, 2019

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

October 1, 2009 - July 29, 2011

REGAL SECURITIES, INC.

BD
CRD#: 7297
GLENVIEW, IL
Past

November 1, 2002 - October 1, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
DALLAS, TX
Past

October 11, 2002 - October 1, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Connecticut
(9/6/2023)
RR
Florida
(7/2/2019)
RR
Illinois
(7/2/2019)
RR
New York
(7/2/2019)
RR
Texas
(9/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/31/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK

CRD#: 128605 / SEC#: , 8-66163

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

Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CAMBRIA HOLDINGS INC.OWNER
HEFFERNAN, THOMAS ROBERTVP5538731
HOEH, PHILLIP JOHNCCO2231877
MARTINO, GARY ANTHONYVP1458334
OGILVIE, DONAL SHANNONCOO2863275
VANDERHOOF, JOEL MICHAELPRESIDENT - INVESTMENT BANKING4152196
WALLACE, ROBERT DIRLAMCFO4606185
WICKERT, JERE THOMASCEO AND PRESIDENT2079719

Disclosures

Regulatory Event9
Arbitration3

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.

Company Information

TRADINGBLOCK

CRD#: 128605Chicago, IL 60606

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