Michael G. Epstein

RIDGEBACK SECURITIES, LTD

Houston, TX 77002-8841

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CRD#: 5547573

Professional summary

Michael Guy Epstein is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 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 Michael Guy 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

October 8, 2012 - Present

RIDGEBACK SECURITIES, LTD

Office #1: 1218 Webster Street, Houston, TX 77002-8841

CRD#: 120448

Houston, TX

Past

August 22, 2011 - October 1, 2019

RAYLIANT ASSET MANAGEMENT, LLC

RIA

CRD#: 150978

Tenafly, NJ

Past

January 12, 2009 - December 23, 2011

INVESTMENT RESEARCH CORP

RIA

CRD#: 108208

TENAFLY, NJ

Past

October 9, 2008 - July 20, 2012

SAMUELS CHASE & CO., INC.

CRD#: 36699

SANTA YSABEL, CA

Past

September 8, 2008 - October 8, 2008

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 23, 2008 - August 13, 2008

SAMUELS CHASE & CO., INC.

CRD#: 36699

SANTA YSABEL, CA

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

Colorado
(10/8/2012)

Florida
(10/8/2012)

Georgia
(2/17/2019)

Massachusetts
(12/24/2023)

Nevada
(8/22/2019)

New Jersey
(10/8/2012)

New York
(10/8/2012)

South Carolina
(8/23/2019)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/15/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RIDGEBACK SECURITIES, LTD

MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.

CRD#: 120448 / SEC#: , 8-65298

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

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Contact information

Main Address

1218 Webster Street, Houston, TX 77002-8841

Mailing Address

1218 Webster Street, Houston, TX 77002-8841

Phone number

(713) 289-6200

Established

Texas since 04/01/2002

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE RIDGEBACK GROUP, LLC	LIMITED PARTNER
CAPITAL FINANCIAL GROUP, INC.	LIMITED PARTNER
BRISTOW, BRIAN BRUCE	CHIEF OPERATING OFFICER	3151921
CONNOLLY, BRENDAN MACKEY	CHIEF COMPLIANCE OFFICER	4352883
MCSALGP, LLC	GENERAL PARTNER
VANPELT, WILLIAM HENRY IV	PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER	1716622

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.

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Michael G. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Guy Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIDGEBACK SECURITIES, LTD

RAYLIANT ASSET MANAGEMENT, LLC

INVESTMENT RESEARCH CORP

SAMUELS CHASE & CO., INC.

FIRST ALLIED SECURITIES, INC.

SAMUELS CHASE & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/22/2008

FINRA

Current Firm

RIDGEBACK SECURITIES, LTD

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RIDGEBACK SECURITIES, LTD

TRUST BUT VERIFY

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