Burnham D. Macomber
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.
Burnham Dell Macomber, who also goes by Burnham D Macomber, was a registered financial professional .
Burnham is a previously registered financial professional and started their career in finance in 1978. Burnham had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2011 - July 6, 2022
CUNA BROKERAGE SERVICES, INC.
April 4, 2005 - July 6, 2022
CUNA BROKERAGE SERVICES, INC.
July 13, 1992 - September 13, 2004
CHARLES SCHWAB & CO., INC.
April 14, 1989 - February 22, 1991
RUAN SECURITIES CORPORATION
November 28, 1988 - April 24, 1989
DOMINICK & DICKERMAN LLC
August 25, 1978 - September 1, 1988
PRUDENTIAL EQUITY GROUP, LLC
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 15
Date: 5/10/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1983
Interest Rate Options ExaminationSeries 8
Date: 8/19/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
