Jason A. 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.
Jason Alan Birnbaum, who also goes by Jason A Birnbaum, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 10 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
October 6, 2005 - March 28, 2016
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 23, 2003 - September 22, 2005
CHASE INVESTMENT SERVICES CORP.
April 1, 2003 - October 21, 2003
METROPOLITAN LIFE INSURANCE COMPANY
April 1, 2003 - October 21, 2003
MSI FINANCIAL SERVICES, INC.
January 27, 2003 - March 28, 2003
MOMENTUM INDEPENDENT NETWORK INC.
October 26, 2000 - January 28, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 2000 - November 3, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
July 28, 1997 - May 9, 2000
CAMBRIDGE CAPITAL, LLC
June 25, 1997 - August 6, 1997
ASH FINANCIAL CORP.
June 6, 1997 - June 24, 1997
H.J. MEYERS & CO., 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
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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