Richard 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 Birnbaum was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - October 7, 2016
BREAN CAPITAL, LLC
October 16, 2008 - June 27, 2012
GLEACHER & COMPANY SECURITIES, INC.
January 11, 1999 - October 16, 2008
BROADPOINT DESCAP
February 19, 1997 - December 2, 1998
NATWEST MARKETS SECURITIES INC.
September 11, 1993 - January 15, 1997
UBS SECURITIES LLC
August 15, 1989 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 24, 1988 - August 10, 1995
THOMSON MCKINNON SECURITIES INC.
September 24, 1986 - February 2, 1988
CITICORP SECURITIES, 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
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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