Adam S. Birnbaum

CAPSTONE PARTNERS

New York, NY 10018

Some features on this profile are disabled

CRD#: 1442268

Professional summary

Adam Scott Birnbaum is a registered financial professional currently at CAPSTONE PARTNERS located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1993. Adam has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Scott Birnbaum's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 21, 2025 - Present

CAPSTONE PARTNERS

Office #1: 104 West 40th Street 3rd Floor, New York, NY 10018

CRD#: 132185

New York, NY

Past

March 14, 2018 - March 6, 2025

GP BULLHOUND INC.

CRD#: 147794

New York, NY

Past

October 19, 2017 - February 26, 2018

HEADWATERS BD, LLC

CRD#: 117042

DENVER, CO

Past

November 26, 2003 - December 11, 2015

GRANDWOOD SECURITIES LLC

CRD#: 127211

NEW YORK, NY

Past

June 12, 1997 - August 5, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 5, 1993 - May 2, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(3/21/2025)

Exams

State Security Law Exam

Series 63

Date: 4/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPSTONE PARTNERS

CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10 Post Office Square Suite 800n, Boston, MA 02109

Mailing Address

10 Post Office Square Suite 800n, Boston, MA 02109

Phone number

(617) 619-3300

Established

Delaware since 04/08/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPSTONE CORPORATE FINANCE LLC	DIRECT OWNER
BEEKMAN, TODD ANDREW	DIRECTOR	6291198
CASPER, MARK VERNON JR.	CHIEF FINANCIAL OFFICER	6682711
DAHLKE, STEPHEN MATTHEW	CHIEF COMPLIANCE OFFICER	2577928
FERRARA, JOHN MARIO II	PRESIDENT	2097226
JANSON, PAUL EDWARD	DIRECTOR	4992234
KLEINMAN, SCOTT DAVID	DIRECTOR	2357636
MILCETICH, MATTHEW LOUIS	EXECUTIVE MANAGING DIRECTOR	6419334
VALDIVIA, SERENA	AML OFFICER	7790899

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adam S. Birnbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Scott Birnbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

GP BULLHOUND INC.

HEADWATERS BD, LLC

GRANDWOOD SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1997

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/30/1992

Series 24

Date: 6/23/2003

FINRA

Current Firm

CAPSTONE PARTNERS

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPSTONE PARTNERS

TRUST BUT VERIFY

Similar Advisors