Michael Buchbinder
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.
Michael Buchbinder, who also goes by Moshe Michael Buchbinder, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 6 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2022 - September 15, 2025
ROTHSCHILD & CO US INC.
November 17, 2017 - May 6, 2022
OPPENHEIMER & CO. INC.
August 4, 2014 - July 11, 2017
BMO CAPITAL MARKETS CORP.
November 21, 2012 - July 8, 2014
WALLER CAPITAL SECURITIES LLC
August 29, 2008 - June 18, 2012
DEUTSCHE BANK SECURITIES INC.
October 1, 2003 - July 13, 2004
MORGAN STANLEY DW INC.
July 24, 2003 - August 8, 2003
MORGAN STANLEY DW 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 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.
