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Richard Seth Birnbaum

Cadaret, Grant & CO., Inc.

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About Richard Seth Birnbaum

Richard Birnbaum is a registered representative at Cadaret Grant & Co., Inc. Richard has been in the financial services industry since September 6, 1988. Richard is registered to provide investment advice in New Jersey and New York. Richard's previous experience includes working at Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and TD Ameritrade, Inc. Richard has passed the Series 31, SIE, Series 55, and Series 7 exams.

Firm Information

Richard Birnbaum is currently registered with Cadaret, Grant & CO., Inc.. Cadaret, Grant & CO., Inc. is a corporation formed on April 16, 1981, with its main office located in Syracuse, NY. They are a registered investment advisor with a comprehensive suite of services, including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals and businesses. The firm has a strong presence across the United States with 52 state registrations and 1 SEC registration. They have a significant client base with a focus on individuals, corporations, and institutional clients, managing over $6.8 billion in regulatory assets under management.
Cadaret, Grant & CO., Inc.

100 MADISON STREET

SYRACUSE, NY 13202

$6.87B

Assets Under Management

5,685

Total Clients

543

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Birnbaum’s Registration & Firm History

NY

08/15/2024 - Present

Cadaret, Grant & CO., Inc. (SYRACUSE NY)

NJ

09/23/2022 - 06/24/2024

WELLS FARGO CLEARING SERVICES, LLC (SUMMIT NJ)

NY

03/24/2014 - 09/19/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WHITE PLAINS NY)

NJ

12/07/2012 - 12/02/2013

WELLS FARGO ADVISORS, LLC (HACKENSACK NJ)

NJ

10/14/2010 - 03/08/2012

PNC INVESTMENTS (RANDOLPH NJ)

NY

04/24/2008 - 10/16/2009

E*TRADE SECURITIES LLC (SCARSDALE NY)

NJ

01/02/2004 - 04/08/2008

TD AMERITRADE, INC. (PARAMUS NJ)

NY

11/25/2003 - 12/19/2003

AXA ADVISORS, LLC (NEW YORK NY)

IL

03/03/2003 - 05/12/2003

ASSENT LLC (BOLINGBROOK IL)

NY

02/07/2003 - 03/03/2003

ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)

NJ

04/11/1996 - 05/13/2002

PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)

NY

08/11/1986 - 04/02/1996

FLEET BROKERAGE SECURITIES, INC. (NEW YORK NY)

NA

05/13/1985 - 08/12/1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NA

08/21/1984 - 11/16/1984

CHESLEY AND DUNN, INC.

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Licenses & Designations

BOTH

Issued 02/02/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/21/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/02/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/16/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/17/2021

Series 31 - Futures Managed Funds Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/18/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Seth Birnbaum.
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