Seth G. 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.
Seth Gabriel Epstein, who also goes by Seth G Epstein, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2009. Seth had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2016 - July 6, 2016
QUEST CAPITAL STRATEGIES, INC.
February 18, 2016 - July 6, 2016
QUEST CAPITAL STRATEGIES, INC.
April 12, 2013 - March 12, 2014
CHARLES SCHWAB & CO., INC.
April 11, 2013 - March 12, 2014
CHARLES SCHWAB & CO., INC.
July 11, 2011 - April 9, 2013
MORGAN STANLEY
July 11, 2011 - April 9, 2013
MORGAN STANLEY
December 3, 2009 - March 9, 2010
WELLS FARGO INVESTMENTS, LLC
November 11, 2009 - March 9, 2010
WELLS FARGO INVESTMENTS, 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
Current 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.
