Alice Epstein
Professional summary
Alice Epstein is a registered financial professional currently at FIRST ANALYSIS SECURITIES CORPORATION located in Chicago, Illinois.
Alice is registered as a RR (Registered Representative) and started their career in finance in 2024. Alice has worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alice Epstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2024 - Present
FIRST ANALYSIS SECURITIES CORPORATION
Office #1: One South Wacker Drive Suite 3900, Chicago, IL 60606State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/12/2024
General Securities Representative ExaminationFINRA
Current Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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