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Andrew Epstein

GORDON, HASKETT CAPITAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 6008825
AE

Professional summary

Andrew Epstein is a registered financial professional currently at GORDON, HASKETT CAPITAL CORPORATION located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2015. Andrew has worked at 2 firms and has passed the SIE, Series 99TO and Series 28 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 Andrew 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

November 17, 2015 - Present

GORDON, HASKETT CAPITAL CORPORATION

Office #1: 441 Lexington Avenue 10th Fl., New York, NY 10017
BD
CRD#: 7976
New York, NY
Past

November 17, 2015 - July 19, 2016

GORDON, HASKETT & CO.

BD
CRD#: 7378
GREENWICH, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/17/2015
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

GH
GORDON, HASKETT CAPITAL CORPORATION
BRUAN, GORDON INVESTING GROUP, INC. | GORDON, HASKETT INVESTING GROUP, INC. | GORDON, HASKETT CAPITAL CORPORATION | GORDON, HASKETT & CO., INC.

CRD#: 7976 / SEC#: , 8-33944

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

Main Address
441 Lexington Avenue 10th Fl., New York, NY 10017
Mailing Address
441 Lexington Avenue 10th Fl., New York, NY 10017
Phone number
(914) 329-0370
Established
Delaware since 03/21/1985
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GORDON, ALLAN SANFORDDIRECTOR AND STOCKHOLDER225635
HASKETT, MICHAEL EDWARDPESIDENT DIRECTOR AND STOCKHOLDER836242
BORTECK, MARK BRUCEGENERAL COUNSEL, CHIEF COMPLIANCE OFFICER1367206
EPSTEIN, ANDREWCONTROLLER, PFO ,INTRODUCING BROKER -DEALER FINOP AND POO6008825

Disclosures

Regulatory Event3

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

GORDON, HASKETT CAPITAL CORPORATION

CRD#: 7976New York, NY 10017

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