Richard S. Birnbaum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Seth Birnbaum, who also goes by Richard Seth Birnbaum, Richard Birnbaum, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 20 firms and has passed the Series 66, Series 63, Series 31, SIE, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2025 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 13, 2025 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
March 13, 2025 - August 1, 2025
SCF SECURITIES, INC.
March 13, 2025 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
March 13, 2025 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
August 15, 2024 - August 1, 2025
CADARET, GRANT & CO., INC.
August 15, 2024 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
August 15, 2024 - August 1, 2025
CADARET, GRANT & CO., INC.
September 23, 2022 - June 24, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 23, 2022 - June 24, 2024
WELLS FARGO CLEARING SERVICES, LLC
March 24, 2014 - September 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2014 - September 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2012 - December 2, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2012 - December 2, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2010 - March 8, 2012
PNC WEALTH MANAGEMENT LLC
October 14, 2010 - March 8, 2012
PNC WEALTH MANAGEMENT LLC
January 5, 2009 - October 16, 2009
HARRISDIRECT LLC
April 24, 2008 - October 16, 2009
E*TRADE SECURITIES LLC
April 25, 2006 - April 8, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 12, 2004 - April 8, 2008
TD AMERITRADE, INC.
January 2, 2004 - April 8, 2008
TD AMERITRADE, INC.
November 25, 2003 - December 19, 2003
EQUITABLE ADVISORS, LLC
March 3, 2003 - May 12, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
February 7, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
April 11, 1996 - May 13, 2002
PERSHING ADVISOR SOLUTIONS LLC
August 11, 1986 - April 2, 1996
FLEET BROKERAGE SECURITIES, INC.
May 13, 1985 - August 12, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1984 - November 16, 1984
CHESLEY AND DUNN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/13/1998
Limited Representative-Equity Trader ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
