Jeffrey L. Birnbaum
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY
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CRD#: 5033210
Professional summary
Jeffrey Lee Birnbaum, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jeffrey has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Fiduciary Appointment-Power of Attorney~140 Riverside Drive, Apt 9N~New York~NY~10024~7/29/2016~0hrs~0hrs~No duties, DPOA is in effect in the event that principal suffers medical relapse or is otherwise unable to make decisions and manage affairs. 2) Financial Planning Assoc. of NY Pro Bono Committee~551 Valley Road #358~Upper Montclair~NJ~07043~Other~Other~9/24/2013~2hrs~2hrs~I am a volunteer. I teach non-investment-related information to the public. For example, I mentor Borough of Manhattan Community College college students on budgeting, income taxes, and career choices. I am not paid for this work. 3) Relentless Management~140 Riverside Drive~New York~NY~10024~Business/Management Consulting~Owner/Sole Proprietor~11/27/2012~5hrs~1hrs~Talent management services, including business and creative management of the careers of singers, songwriters, musicians, other entertainers and producers. 4) SALLIE MULLINS THOMPSON CPA PLL; Independent Contractor; Providing consulting services with respect to income tax-related topics.; NIR; HRS 1; HRS 1; 11/13/2021; 3700 Massachusetts Ave NW, L29, Washington DC 20016, DESCRIPTION: Providing consulting services with respect to income tax-related topics. 5) ON POINT FINANCIAL GROUP LLC [REFLECTS THE NAME CHANGE FROM ON POINT FINANCIAL AND THE CHANGE IN BUSINESS STRUCTURE FROM SOLE PROPRIETORSHIP TO LLC.]; Member; this is a one-person LLC. ; (1) Comprehensive financial planning.(2) Income tax planning and preparation, as well as representation of clients before the IRS and state tax agencies. IR; HRS 220; HRS 115; 11/05/2012; 140 Riverside Drive Suite 9N, New York NY 10024,; I am the sole Member of On Point Financial Group LLC. In addition to running the company. Comprehensive financial planning, including investment management, retirement planning, risk management/insurance planning, and income tax planning, all with respect to my affiliation with Avantax. In my capacity as an Enrolled Agent, I prepare income tax returns for clients and provide income tax planning guidance to them. I will represent them before the IRS and state tax agencies when needed and appropriate. 6) ON POINT FINANCIAL GROUP LLC; Member; this is a one-person LLC.; (1) Comprehensive financial planning. (2) Income tax planning and preparation, as well as representation of clients before the IRS and state tax agencies. IR; HRS 220; HRS 115; 11/24/2023; ADDRESS: 140 Riverside Drive, Suite 9N, New York, NY 10024; I am the sole Member of On Point Financial Group LLC. In addition to running the company, I have the following duties and responsibilities:(1) Comprehensive financial planning, including investment management, retirement planning, risk management/insurance planning, and income tax planning, all with respect to my affiliation with Avantax. (2) In my capacity as an Enrolled Agent, I prepare income tax returns for clients and provide income tax planning guidance to them. When needed and appropriate, I represent them before the IRS and state tax agencies. 7) SALLIE MULLINS THOMPSON CPA PLL; Independent Contractor; Providing consulting services with respect to income tax-related topics. NIR; HRS 1; HRS 1; 11/13/2021; 4703 Woodway Lane NW, Washington DC 20016; Providing consulting services with respect to income tax-related topics.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Lee Birnbaum's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2012
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
New York, NY
Past
July 23, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
NEW YORK, NY
Past
May 4, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
New York, NY
Past
December 1, 2009 - June 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NEW YORK, NY
Past
December 1, 2009 - June 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW YORK, NY
Past
August 24, 2009 - October 6, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
July 10, 2007 - October 6, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
