Andrew J. Friedman

AJF CAPITAL MANAGEMENT

New York, NY 10017

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CRD#: 1038517

Professional summary

Andrew Jon Friedman, CFP® is a registered financial advisor currently at AJF CAPITAL MANAGEMENT, INC. located in New York, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in New York, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Andrew has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. ANDREW FRIEDMAN, 211 West 43rd Street, Suite 2004, New York NY 10017, United States, 05/30/2025, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 1 HR/MO TRADING 2. AJF CAPITAL MANAGEMENT INC., 211 East 43rd Street, New York NY 10017, United States, 05/30/2025, Certified Financial Planner, Investment Advisor, RIA Affiliation, INV REL, 160 HR/MO - 160 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Jon Friedman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 1, 2017 - Present

AJF CAPITAL MANAGEMENT, INC.

Office #1: 211 East 43rd St. Suite 2004, New York, NY 10017

RIA

CRD#: 126414

New York, NY

Current

November 15, 2024 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 211 East 43rd Street , New York, NY 10017

CRD#: 39543

New York, NY

Past

October 11, 2024 - November 23, 2024

OSAIC WEALTH, INC.

CRD#: 23131

NEW YORK, NY

Past

November 5, 2008 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

NEW YORK, NY

Past

September 16, 2004 - December 16, 2004

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

NEW YORK, NY

Past

July 2, 2004 - November 10, 2008

SAXONY SECURITIES, INC.

CRD#: 115547

NEW YORK, NY

Past

June 13, 2000 - July 6, 2004

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

August 13, 1992 - June 15, 2000

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

May 18, 1990 - July 14, 1992

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

September 13, 1988 - May 18, 1990

JONATHAN ALAN & CO., INC.

CRD#: 15914

Past

April 7, 1982 - September 20, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AJF CAPITAL MANAGEMENT, INC.

AJF CAPITAL MANAGEMENT, INC. | AJF FINANCIAL SERVICES, INC.

CRD#: 126414 / SEC#: 801-94167

RIA

Registered Investment Advisory firm - (4/24/2015 Approved)

New York

Registered Investment Advisory firm - (6/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/15/2024)

California
(11/15/2024)

Colorado
(11/15/2024)

Connecticut
(11/15/2024)

District of Columbia
(11/15/2024)

Florida
(11/15/2024)

Georgia
(11/15/2024)

Illinois
(11/19/2024)

Kansas
(11/15/2024)

Louisiana
(11/15/2024)

Maryland
(11/15/2024)

Massachusetts
(11/19/2024)

Minnesota
(11/26/2024)

Missouri
(11/15/2024)

Montana
(12/2/2024)

New Jersey
(11/15/2024)

New Mexico
(11/15/2024)

IAR

New York
(7/11/2021)

New York
(11/15/2024)

North Carolina
(11/26/2024)

Ohio
(11/15/2024)

Oregon
(11/15/2024)

Pennsylvania
(11/15/2024)

Rhode Island
(11/15/2024)

South Carolina
(11/19/2024)

Tennessee
(11/15/2024)

Texas
(11/15/2024)

Vermont
(11/15/2024)

Virginia
(11/15/2024)

Washington
(11/15/2024)

Wisconsin
(11/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AJF CAPITAL MANAGEMENT, INC.

AJF CAPITAL MANAGEMENT, INC. | AJF FINANCIAL SERVICES, INC.

CRD#: 126414 / SEC#: 801-94167

RIA

Registered Investment Advisory firm - (4/24/2015 Approved)

New York

Registered Investment Advisory firm - (6/16/2015 Terminated)

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Contact information

Main Address

211 East 43rd St. Suite 2004, New York, NY 10017

Mailing Address

Phone number

(212) 779-0789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (11/14/2025)

Regulatory assets under management

Total Number of Accounts	540
AUM (Assets Under Management)	$ 178,528,881

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Jon Friedman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY SECURITIES, INC.

SYNDICATED CAPITAL, INC.

PRIME CAPITAL SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

JONATHAN ALAN & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AJF CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/13/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

Series 6

Date: 4/6/1982

Series 24

Date: 3/19/1997

FINRA

Current Firm

AJF CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AJF CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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