Roman Friedrich
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.
Roman Friedrich, who also goes by Roman III Friedrich, was a registered financial professional .
Roman is a previously registered financial professional and started their career in finance in 1982. Roman had worked at 7 firms and has passed the Series 63, Series 79, Series 41, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2010 - May 11, 2012
MLV & CO. LLC
September 12, 1996 - April 21, 1997
TD SECURITIES (USA) LLC
August 30, 1993 - May 17, 1995
LANCASTER FINANCIAL CORPORATION
May 2, 1989 - September 14, 1990
CIBC WOOD GUNDY SECURITIES CORP.
July 30, 1988 - March 23, 1990
MML INVESTORS SERVICES, LLC
July 20, 1987 - June 20, 1988
WINGSPAN INVESTMENT SERVICES
May 20, 1982 - September 6, 1985
BURNS FRY INC
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 41
Date: 10/20/1984
NYSE Allied Member ExaminationCurrent Firm
MLV & CO. LLC
CRD#: 150959 / SEC#: , 8-68331
Contact information
Documents
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.
