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PE

Peter A. Epstein

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CRD#: 728540
PE

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.

Peter Albert Epstein was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 8 firms and has passed the Series 63, Series 7, Series 24 and Series 4 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 1998 - July 9, 2001

MACARTHUR STRATEGIES, INC.

BD
CRD#: 20678
IRVINE, CA
Past

October 18, 1996 - January 12, 1998

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

May 24, 1996 - November 26, 1996

MACARTHUR STRATEGIES, INC.

BD
CRD#: 20678
IRVINE, CA
Past

August 25, 1993 - October 17, 1995

LACROIX ALEXANDER FINANCIAL CORP

BD
CRD#: 27705
NEWPORT BEACH, CA
Past

June 18, 1993 - August 2, 1993

EVERGREEN SECURITIES, INC.

BD
CRD#: 15596
Past

March 22, 1993 - May 25, 1993

MACARTHUR STRATEGIES, INC.

BD
CRD#: 20678
IRVINE, CA
Past

May 8, 1992 - January 29, 1993

EVERGREEN SECURITIES, INC.

BD
CRD#: 15596
Past

January 13, 1988 - November 22, 1991

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

October 20, 1987 - December 21, 1987

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
Past

January 14, 1987 - May 26, 1987

STONERIDGE SECURITIES, INC.

BD
CRD#: 13855
Past

April 13, 1981 - July 29, 1985

SECURITIES WEST, INC.

BD
CRD#: 4898

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

State Security Law Exam
RR
Series 63
Date: 6/6/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/14/1988
Registered Options Principal Examination

Current Firm

MS
MACARTHUR STRATEGIES, INC.
BROKERS FIRST FINANCIAL CORP. | WELLINGTON FIRST SECURITIES, INC. | TREMAN FIRST SECURITIES, INC. | MACARTHUR STRATEGIES, INC.

CRD#: 20678 / SEC#: , 8-38402

BD
Terminated by SEC on 02/06/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 08/04/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICHOLSON, PAUL NICHOLASCHIEF COMPLIANCE OFFICER
NICHOLSON, PAUL NICHOLASPRESIDENT

Disclosures

Regulatory Event3
Arbitration1

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

MACARTHUR STRATEGIES, INC.

CRD#: 20678

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