Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Epstein is a financial advisor at UBS Financial Services Inc. Norman has been in the financial services industry since 1992. Before joining UBS, Norman was a financial advisor at Credit Suisse Securities (USA) LLC for over 15 years. Norman is registered with FINRA and the SEC, as well as various states, including California and Texas. Norman Epstein's specializations include retirement planning, college savings, estate planning, and insurance. Norman is dedicated to helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
02/09/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/02/2001 - 03/02/2016
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
NJ
09/27/1999 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
CA
07/02/1998 - 09/13/1999
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
08/10/1995 - 05/29/1998
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
07/08/1992 - 08/01/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
08/05/1991 - 09/18/1991
FRANKLIN DISTRIBUTORS, INC. (SAN MATEO CA)
IA
Issued 10/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1992
Series 7 - General Securities Representative Examination
BC
Issued 08/01/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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