IE
Ian J. Epstein
OPENDEAL BROKER LLC
New York, NY 10010
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CRD#: 7217572
IE
Professional summary
Ian Joshua Epstein, who also goes by Ian Epstein, is a registered financial professional currently at OPENDEAL BROKER LLC located in New York, New York.
Ian is registered as a RR (Registered Representative) and started their career in finance in 2020. Ian has worked at 3 firms and has passed the Series 63, Series 82TO, Series 79TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ian Epstein
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.
CRS (Client Relationship Summary) - BD
Click below to view Ian Joshua Epstein'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®
NoneExperience
Current
March 20, 2023 - Present
OPENDEAL BROKER LLC
Office #1: 149 5th Avenue 10th Floor, New York, NY 10010Office #2: 149 5th Avenue 10th Fl, New York, NY 10010BD
CRD#: 291387
New York, NY
Past
June 24, 2022 - March 7, 2023
ENIGMA SECURITIES INC.
BD
CRD#: 306183
New York, NY
Past
July 30, 2020 - April 12, 2022
OSCAR GRUSS & SON INCORPORATED
BD
CRD#: 2091
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
Alabama(4/1/2024)
RR
Alaska(4/1/2024)
RR
Arizona(4/1/2024)
RR
Arkansas(4/1/2024)
RR
California(4/1/2024)
RR
Colorado(1/3/2024)
RR
Connecticut(4/1/2024)
RR
Delaware(4/1/2024)
RR
District of Columbia(1/3/2024)
RR
Florida(1/3/2024)
RR
Georgia(4/1/2024)
RR
Hawaii(4/1/2024)
RR
Idaho(4/1/2024)
RR
Illinois(4/1/2024)
RR
Indiana(4/1/2024)
RR
Iowa(4/1/2024)
RR
Kansas(4/1/2024)
RR
Kentucky(4/1/2024)
RR
Louisiana(1/3/2024)
RR
Maine(4/1/2024)
RR
Maryland(1/3/2024)
RR
Massachusetts(4/1/2024)
RR
Michigan(4/1/2024)
RR
Minnesota(4/1/2024)
RR
Mississippi(4/1/2024)
RR
Missouri(4/1/2024)
RR
Montana(4/1/2024)
RR
Nebraska(4/1/2024)
RR
Nevada(4/1/2024)
RR
New Hampshire(4/1/2024)
RR
New Jersey(4/1/2024)
RR
New Mexico(4/1/2024)
RR
New York(4/1/2024)
RR
North Carolina(4/1/2024)
RR
North Dakota(4/1/2024)
RR
Ohio(4/1/2024)
RR
Oklahoma(4/1/2024)
RR
Oregon(4/1/2024)
RR
Pennsylvania(4/1/2024)
RR
Rhode Island(4/1/2024)
RR
South Carolina(4/1/2024)
RR
South Dakota(4/1/2024)
RR
Tennessee(4/1/2024)
RR
Texas(4/1/2024)
RR
Utah(4/1/2024)
RR
Vermont(4/1/2024)
RR
Virginia(4/1/2024)
RR
Washington(4/1/2024)
RR
West Virginia(4/1/2024)
RR
Wisconsin(4/1/2024)
RR
Wyoming(4/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 12/24/2024
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 79TO
Date: 2/16/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/27/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OB
OPENDEAL BROKER LLC
CAPITAL R | REPUBLIC SECURITIES | OPENDEAL BROKER LLC | OPENDEAL BROKER | NEXTSEED SECURITIES, LLC
CRD#: 291387 / SEC#: , 8-70055
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
149 5th Avenue 10th Fl, New York, NY 10010
Mailing Address
149 East 22st 10th Fl, New York, NY 10010
Phone number
(607) 227-1036
Established
Delaware since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
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.
