Jeffrey M. Kirschner
Professional summary
Jeffrey Michael Kirschner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Jeffrey had worked at 12 firms, which includes WAMU INVESTMENTS INC., CAL FED INVESTMENTS, ATLAS SECURITIES LLC, KIRSCHNER SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, BLUNT ELLIS & LOEWI INCORPORATED, RAUSCHER PIERCE REFSNES INC., KENNEDY CABOT & CO., THE STUART-JAMES COMPANY INCORPORATED, WESTCAP SECURITIES L.P., AMERIPRISE ADVISOR SERVICES INC., LANDMARK INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1999 - July 25, 2000
WAMU INVESTMENTS, INC.
May 30, 1997 - September 3, 1999
CAL FED INVESTMENTS
January 21, 1997 - May 22, 1997
ATLAS SECURITIES, LLC
November 13, 1990 - December 13, 1995
KIRSCHNER SECURITIES, INC.
September 4, 1990 - November 8, 1990
WELLS FARGO CLEARING SERVICES, LLC
October 18, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 1, 1988 - October 25, 1989
RAUSCHER PIERCE REFSNES, INC.
November 6, 1987 - March 18, 1988
KENNEDY, CABOT & CO.
March 25, 1986 - June 3, 1986
THE STUART-JAMES COMPANY, INCORPORATED
June 28, 1985 - April 8, 1986
WESTCAP SECURITIES, L.P.
January 31, 1985 - June 20, 1985
AMERIPRISE ADVISOR SERVICES, INC.
September 13, 1984 - October 30, 1984
LANDMARK INVESTMENTS, INC.
August 24, 1983 - July 12, 1984
WESTCAP SECURITIES, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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