Laurence G. Epstein
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.
Laurence Gale Epstein, CLU®, who also goes by Larrey Epstein, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1977. Laurence had worked at 6 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 1995 - June 6, 1995
NATIONAL SECURITIES CORPORATION
July 31, 1993 - January 31, 1995
CITIGROUP GLOBAL MARKETS INC.
April 5, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
July 10, 1989 - April 7, 1993
UBS FINANCIAL SERVICES INC.
September 25, 1981 - July 22, 1989
PRUDENTIAL EQUITY GROUP, LLC
April 21, 1977 - September 19, 1981
PUGET SOUND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 6/1/1988
AMEX Put and Call ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
