Daniel A. Weinbaum
Professional summary
Daniel Asher Weinbaum, who also goes by Dan Weinbaum, is a registered financial advisor currently at SPINDLETOP COMMONWEALTH ADVISORS LLC located in Beaumont, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Asher Weinbaum's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2008 - Present
SPINDLETOP COMMONWEALTH ADVISORS LLC
Office #1: 595 Orleans Street Suite 816, Beaumont, TX 77701September 19, 2002 - January 14, 2008
UBS FINANCIAL SERVICES INC.
February 8, 2002 - January 14, 2008
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 14, 2002
CITIGROUP GLOBAL MARKETS INC.
September 1, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 15, 1989 - August 19, 1992
FINANCIAL SQUARE PARTNERS
September 26, 1984 - June 5, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 22, 1981 - September 25, 1984
ROTAN MOSLE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/14/2008)
(1/14/2008)
Exams
Series 8
Date: 9/29/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SPINDLETOP COMMONWEALTH ADVISORS LLC
CRD#: 145518 / SEC#: 801-68488
Contact information
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 30,000,000 |
Red Flags
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