Richard Birnbaum, financial advisor Wyckoff NJ
93 score

Richard Birnbaum

CRD Number: 1294891
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Richard Birnbaum (CRD# 1294891) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wyckoff, NJ and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Oradell, NJ Apr 2014 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oradell, NJ Mar 2014 - Current 2
Unemployed River Edge, NJ Jan 2014 - Feb 2014 < 1
Wells Fargo Bank Na Tenalfy, NJ Nov 2012 - Jan 2014 1
Wells Fargo Advisors, Llc, Tenafly, NJ Nov 2012 - Jan 2014 1
Pnc Bank Randolph, NJ Aug 2010 - Nov 2012 2
Pnc Investments Randolph, NJ Aug 2010 - Nov 2012 2
Unemployed River Edge, NJ Oct 2009 - Aug 2010 < 1
E*trade Capital Management LLC Scarsdale, NY Jan 2009 - Oct 2009 < 1
E*trade Securities LLC Scarsdale, NY Apr 2008 - Oct 2009 1
Amerivest Investment Management LLC Paramus, NJ Apr 2006 - Mar 2008 1
Td Waterhouse Investor Services, Inc. Paramus, NJ Dec 2003 - Mar 2008 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1984
S66 NASAA Uniform Combined State Law Examination Feb 2004
Contact Info for Richard S. Birnbaum
Phone Number: 800-637-7455
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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