Individual Firm
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ERIC A EPSTEIN
ERIC ADAM EPSTEIN, ERIC EPSTEIN
CRD#: 1427622
IA
B
MORGAN STANLEYCRD#: 149777 21650 Oxnard Street
Suite 1800
Woodland Hills, CA 91367
Suite 1800
Woodland Hills, CA 91367
0
Disclosures
39
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
Montana 6/17/2020
B
Arkansas 12/18/2014
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 12/26/2014
IA
California 6/1/2009
B
New Mexico 12/26/2014
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 5/11/2017
B
Georgia 5/9/2016
B
Ohio 6/1/2009
B
Hawaii 1/12/2015
B
Oregon 6/1/2009
B
Idaho 2/20/2019
B
Puerto Rico 5/12/2022
B
Illinois 12/26/2014
B
Tennessee 12/26/2014
B
Iowa 12/26/2014
B
Texas 8/8/2011
B
Louisiana 12/26/2014
IA
Texas 8/30/2011
B
Maryland 10/23/2013
B
Utah 3/16/2018
B
Massachusetts 12/26/2014
B
Virginia 7/24/2013
B
Missouri 1/3/2018
B
Washington 12/26/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | WOODLAND HILLS, CA | |
B | 04/02/2007 - 06/01/2009 | WOODLAND HILLS, CA | |
IA | 08/11/2000 - 04/02/2007 | WOODLAND HILLS, CA | |
B | 05/22/2000 - 04/02/2007 | WOODLAND HILLS, CA | |
B | 04/29/1994 - 06/23/2000 | WEEHAWKEN, NJ | |
B | 12/17/1985 - 05/13/1994 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.