Burkhard R. Spring
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.
Burkhard Robert Spring, who also goes by Burke Spring, was a registered financial professional .
Burkhard is a previously registered financial professional and started their career in finance in 1976. Burkhard had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC 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
May 31, 2002 - May 5, 2017
OPPENHEIMER & CO. INC.
April 11, 2002 - June 4, 2002
CITICORP INVESTMENT SERVICES
February 16, 1996 - April 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 1991 - February 6, 1996
LEHMAN BROTHERS INC.
March 20, 1989 - March 28, 1991
CITIGROUP GLOBAL MARKETS INC.
June 26, 1984 - April 6, 1989
LEHMAN BROTHERS INC.
November 15, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 26, 1978 - June 7, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 21, 1978 - June 10, 1978
VERRILLI ALTSCHULER SCHWARTZ INC.
November 22, 1977 - December 24, 1981
LEHMAN BROTHERS INC.
May 4, 1977 - December 3, 1978
SHEARSON HAYDEN STONE INC.
April 1, 1976 - May 8, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
PC
Date: 5/24/1978
AMEX Put and Call ExamCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
