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Paul Marvin Epstein

Ameriprise Financial Services, LLC

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About Paul Marvin Epstein

Paul Epstein is an investment advisor representative and a registered representative with Ameriprise Financial Services, LLC. Paul has been in the industry since 1985 and holds the Series 3, 7 and 63 licenses. Paul also passed the SIE exam in 2018. Paul has prior experience working with Ameriprise Financial Services, Inc., Oppenheimer & Co. Inc., Shields & Company, Tucker Anthony Incorporated, Gruntal & Co., L.L.C. and Thomson McKinnon Securities Inc. Paul currently works out of the Ameriprise Financial Services, LLC office in Jericho, New York.

Firm Information

Paul Epstein is currently registered with Ameriprise Financial Services, LLC. Ameriprise Financial Services, LLC is a Limited Liability Company formed in 1971 and headquartered in Minneapolis, Minnesota. The firm offers a variety of financial services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Ameriprise has a significant presence in the United States, with a network of over 11,000 licensed agents and investment advisor representatives. The firm manages over $479 billion in assets for a diverse range of clients, including high-net-worth individuals, corporations, and pension plans.
Ameriprise Financial Services, LLC

707 2ND AVENUE SOUTH

MINNEAPOLIS, MN 55402

$479.79B

Assets Under Management

140,938

Total Clients

13,002

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation services

Asset allocation services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Paul Epstein’s Registration & Firm History

NY

04/19/2021 - Present

Ameriprise Financial Services, LLC (JERICHO NY)

NY

12/02/2016 - 04/26/2017

AMERIPRISE FINANCIAL SERVICES, INC. (Jericho NY)

NY

04/21/2003 - 12/02/2016

OPPENHEIMER & CO. INC. (JERICHO NY)

NY

12/14/1999 - 04/17/2003

SHIELDS & COMPANY (NEW YORK NY)

MA

09/04/1998 - 12/15/1999

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NY

07/20/1989 - 09/29/1998

GRUNTAL & CO., L.L.C. (NEW YORK NY)

NY

03/20/1986 - 08/14/1989

THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)

NA

03/15/1985 - 03/31/1986

S. J. BAYERN & CO., INC.

NA

08/21/1984 - 08/22/1984

DISCOUNT BROKERAGE CORPORATION OF AMERICA

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Licenses & Designations

BC

Issued 04/18/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/1988

Series 3 - National Commodity Futures Examination

BC

Issued 08/18/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Paul Marvin Epstein. Review regulatory record here.
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