AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TS

Trevor M. Schmitt

EP SECURITIES
New York, NY 10016
Some features on this profile are disabled
CRD#: 7031547
TS

Professional summary

Trevor Mackay Schmitt is a registered financial professional currently at EP SECURITIES, LLC located in New York, New York.

Trevor is registered as a RR (Registered Representative) and started their career in finance in 2019. Trevor has worked at 2 firms and has passed the Series 63, SIE and Series 79TO exams.

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 Trevor Mackay Schmitt's 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

February 5, 2026 - Present

EP SECURITIES, LLC

Office #1: 275 Madison Ave Suite 1901, New York, NY 10016
BD
CRD#: 150774
New York, NY
Past

January 17, 2020 - September 17, 2021

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

May 23, 2019 - January 6, 2020

EP SECURITIES, LLC

BD
CRD#: 150774
NEW YORK, NY

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
New York
(2/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/16/2025
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EP SECURITIES, LLC
EP SECURITIES, LLC

CRD#: 150774 / SEC#: , 8-68297

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
275 Madison Ave Suite 1901, New York, NY 10016
Mailing Address
275 Madison Ave Suite 1901, New York, NY 10016
Phone number
(212) 297-1724
Established
Delaware since 05/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EXCEL PARTNERS HOLDINGS LLCOWNER
DONOHUE, DOUGLAS STILESCEO/ SECRETARY/ MEMBER1969102
HELLER, JEFFREY PHILIPFINOP/CFO3139370
KLARIN, DARVIN DARKOCCO1039190
SOH, EDWARD YOUNGPRESIDENT / CO-CCO2557224

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

EP SECURITIES, LLC

CRD#: 150774New York, NY 10016

TRUST BUT VERIFY

Monitor Trevor Schmitt

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anita Narendra Srivastava
Anita SrivastavaAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.