Ira M. 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.
Ira Malvin Birnbaum was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1987. Ira had worked at 4 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
September 23, 1994 - December 31, 2016
BERNARD HEROLD & CO., INC.
August 8, 1994 - October 5, 1994
OPPENHEIMER & CO. INC.
April 12, 1993 - August 8, 1994
REICH & CO., INC.
August 18, 1987 - April 16, 1993
CHURCHILL 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
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| 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.
