Leslie N. Birenbaum
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.
Leslie Norman Birenbaum, who also goes by Les Birenbaum, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1987. Leslie had worked at 9 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - February 20, 2014
MSI FINANCIAL SERVICES, INC.
December 19, 2012 - February 20, 2014
NEW ENGLAND SECURITIES
June 23, 2005 - January 27, 2012
NEW ENGLAND SECURITIES
September 7, 2004 - April 22, 2005
FORESTERS EQUITY SERVICES, INC.
January 29, 2003 - August 19, 2004
NEW ENGLAND SECURITIES
August 22, 2002 - October 10, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 26, 2000 - November 21, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
September 7, 1999 - February 15, 2000
WADDELL & REED
February 26, 1997 - September 9, 1999
PRUCO SECURITIES, LLC.
July 11, 1996 - January 28, 1997
MML INVESTORS SERVICES, LLC
November 16, 1995 - May 10, 1996
METROPOLITAN LIFE INSURANCE COMPANY
November 16, 1995 - May 10, 1996
MSI FINANCIAL SERVICES, INC.
October 13, 1987 - August 15, 1995
PRUCO SECURITIES, LLC.
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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
