Daniel M. 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.
Daniel Moses Epstein, who also goes by Daniel Epstein, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2007. Daniel had worked at 3 firms and has passed the Series 66 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 18, 2011 - April 11, 2012
ESSEX NATIONAL SECURITIES, LLC
February 4, 2011 - April 11, 2012
ESSEX NATIONAL SECURITIES, LLC
September 19, 2008 - March 31, 2010
CHASE INVESTMENT SERVICES CORP.
September 19, 2008 - March 31, 2010
CHASE INVESTMENT SERVICES CORP.
November 21, 2007 - September 3, 2008
KESTRA INVESTMENT SERVICES, 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
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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