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Detailed Report
DAVID JEFFREY BIRNBAUM
DAVID J BIRNBAUM
CRD#: 1496899
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2500 WESTCHESTER AVE STES 201 & 203
PURCHASE, NY 10577
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (8 years)BOPPENHEIMER & CO. INC. (CRD# 249)2007 - 2016 (8 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2007 (6 years)BUBS PAINEWEBBER INC. (CRD# 8174)1999 - 2001 (1 year)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)1994 - 1999 (5 years)
Disclosure(s)
View By:
4/16/2008
Customer Dispute
Closed-No Action
4/1/1989
Regulatory
Final
License(s)

State Registrations

B
Arizona 4/11/2016
B
New York 4/11/2016
B
California 4/11/2016
IA
New York 7/27/2021
B
Colorado 4/11/2016
B
North Carolina 4/11/2016
B
Connecticut 4/11/2016
B
Pennsylvania 4/11/2016
IA
Connecticut 7/5/2016
B
Rhode Island 4/8/2024
B
District of Columbia 5/8/2023
B
South Carolina 5/13/2016
B
Florida 4/28/2016
B
Texas 5/17/2016
B
Georgia 5/16/2016
IA
Texas 6/30/2016
B
Maryland 12/5/2019
B
Vermont 1/28/2022
B
Michigan 5/17/2016
B
Virginia 10/24/2022
B
New Jersey 4/11/2016

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2500 WESTCHESTER AVE STES 201 & 203, PURCHASE, NY 10577
YORKTOWN, NY
Registered with this firm since 6/30/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2500 WESTCHESTER AVE STES 201 & 203, PURCHASE, NY 10577
YORKTOWN, NY
Registered with this firm since 4/11/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/10/2007 - 04/15/2016 OPPENHEIMER & CO. INC. (CRD#:249) WHITE PLAINS, NY
B
 04/02/2001 - 12/13/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SCARSDALE, NY
B
 05/03/1999 - 04/09/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 01/11/1994 - 05/17/1999 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) SYOSSET, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.