Karl F. Birkenfeld
Professional summary
Karl Francis Birkenfeld, who also goes by ., is a registered financial professional currently at AMERICAN TRUST INVESTMENT SERVICES, INC. located in Chicago, Illinois.
Karl is registered as a RR (Registered Representative) and started their career in finance in 1985. Karl has worked at 22 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karl Francis Birkenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2017 - Present
AMERICAN TRUST INVESTMENT SERVICES, INC.
Office #1: 230 W. Monroe Suite 300, Chicago, IL 60606January 24, 2014 - May 27, 2015
CABOT LODGE SECURITIES LLC
January 12, 2012 - December 31, 2013
STREETCAPITAL, INC
April 9, 2009 - November 9, 2011
TRIPOINT GLOBAL EQUITIES/BANQ(R)
June 23, 2004 - December 9, 2008
WESTCAP SECURITIES, INC.
July 24, 2002 - July 28, 2004
LACONIA CAPITAL CORPORATION
September 25, 2001 - August 1, 2002
CAPITAL SUISSE SECURITIES, INC.
November 27, 2000 - October 23, 2001
VIEWTRADE SECURITIES, INC.
December 22, 1998 - November 21, 2000
BARRON CHASE SECURITIES, INC.
September 29, 1997 - December 4, 1998
TAYLOR STUART FINANCIAL, INC.
February 19, 1997 - September 11, 1997
ALDEN CAPITAL MARKETS, INC.
September 26, 1996 - January 23, 1997
GLOBAL EQUITIES GROUP INC
April 30, 1996 - August 22, 1996
GKN SECURITIES CORP.
February 22, 1995 - May 17, 1996
A.S. GOLDMEN & CO., INC.
October 12, 1994 - January 27, 1995
BISHOP, ROSEN & CO., INC.
February 10, 1994 - September 20, 1994
D. BLECH & COMPANY, INCORPORATED
September 4, 1992 - January 6, 1994
UBS FINANCIAL SERVICES INC.
March 28, 1991 - August 17, 1992
LEHMAN BROTHERS INC.
August 31, 1989 - February 1, 1991
D. H. BLAIR & CO., INC.
October 18, 1988 - April 25, 1990
ALLEGIANCE SECURITIES, INC.
January 4, 1988 - October 3, 1988
GREENTREE SECURITIES CORP.
February 21, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS 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
(3/18/2021)
(1/22/2021)
(3/25/2021)
(1/24/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
