Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Epstein is a financial advisor with over 30 years of experience in the industry. Stuart is currently registered with Morgan Stanley in California and Texas and has previously worked with CITIGROUP GLOBAL MARKETS INC., Lehman Brothers Inc., and Venture Funding. Stuart holds a variety of licenses including Series 3, 4, 5, 7, 10, 15, 22, 24, 27, 53, 63, 65, 99TO, and SIE. Stuart provides financial planning, portfolio management, and asset allocation advice to individuals, families, businesses, investment companies, charitable organizations, and insurance companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/03/2020 - Present
Morgan Stanley (Menlo Park CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MENLO PARK CA)
NY
08/19/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/03/1984 - 08/29/1986
VENTURE FUNDING
IA
Issued 09/19/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/1986
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/21/1985
Series 27 - Financial and Operations Principal Examination
BC
Issued 05/29/1985
Series 4 - Registered Options Principal Examination
BC
Issued 02/11/1985
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1986
Series 3 - National Commodity Futures Examination
BC
Issued 09/29/1986
Series 5 - Interest Rate Options Examination
BC
Issued 11/13/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 02/02/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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