Gloria D. Birnkrant
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.
Gloria Diane Birnkrant, who also goes by Gloria Diane Redway, Gloria Diane Springer, was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 2001. Gloria had worked at 5 firms and has passed the Series 66, 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
February 22, 2007 - December 31, 2014
SYMPHONIC FINANCIAL ADVISORS LLC
February 22, 2007 - December 31, 2007
CNR SECURITIES, LLC
February 22, 2007 - December 31, 2014
SYMPHONIC SECURITIES LLC
October 15, 2001 - January 26, 2007
1ST GLOBAL ADVISORS INC
August 24, 2001 - January 26, 2007
1ST GLOBAL CAPITAL CORP.
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
SYMPHONIC FINANCIAL ADVISORS LLC
CRD#: 135603 / SEC#: 801-64456
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,234 |
| AUM (Assets Under Management) | $ 125,189,685 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 09/28/2022 | ||
| 11/29/2021 |
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.
