RF
Rodger A. Friedman
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CRD#: 1057765
RF
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.
Rodger Alan Friedman was a registered financial professional .
Rodger is a previously registered financial professional and started their career in finance in 1982. Rodger had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
No
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) Name of Business: Steward Partners Investment Advisory LLC; Address: 600 Cleveland St suite 1150, Clearwater, MD, 33755, United States; Activity Type: Independent RIA; Position/Title: Advisor; Investment Related: Yes; Start Date: 01/14/2016; Hours per month devoted to this business: 0-1; Hours per month devoted to this business during trading hours: 0-1; Description of duties: provide Advisory services for client 2) Name of Business: Rodger Friedman (consulting); Address: Clearwater, FL; Nature of the Business: I intend to partner with a marketing specialist to promote, market and distribute articles and co-author a book on financial advisor marketing that will be provided to financial advisors nationally. The book will only be made available to FA's; Position/Title: Other (paid); Investment Related: No; Start Date: 04/20/2019; Hours per month devoted to this business: 10; Hours per month devoted to this business during trading hours: 0; Description of duties: I create content (articles, white papers) to be marketed to as well as to co-author an FA marketing book with Parthiv Shah. From time to time, I will consult with FAs on marketing matters and strategies. 3) Steward Partners Global Advisory; Address: Clearwater, FL; Nature of the Business: Non-variable Insurance and annuities; Position/Title: Agent; Investment Related: Yes; Start Date: 10/29/2020; Hours per month devoted to this business: 21-40; Hours per month devoted to this business during trading hours: 21-40; Description of duties: Offer non-variable insurance, term, whole and universal life insurance, disability health, and immediate and fixed annuities. 4) Name of Business: NA; Address: Safety Harbor, FL, 34695, United States; Activity Type: Other; Position/Title: Author; Investment Related: No; Start Date: 07/11/2014; Hours per month devoted to this business: 0-1; Hours per month devoted to this business during trading hours: 0-1; Description of duties: Author 5) Business Name: EOCritic LLC; Safety Harbor, FL; Activity Type: Business ownership, publish book: Erasing America; Position/Title: Sole Owner LLC publishing book; Not investment related; Start Date: 01/03/2024; HRS per Month devoted 25hrs; 0 HRS/MO during trading hours. 6) Name of Business: Donna's Way; Activity Type: Business Ownership; Nature of Business: LLC that owns one rental property in FL with sister; Position/Title: Non-Managing member; City/State: Pierce, FL; Duties: None; Start date: 11/22/2024; 0 HRS/MO devoted to this activity; 0 HRS/MO devoted to this activity during trading hours; Investment related.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 27, 2022 - July 28, 2025
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
CLEARWATER, FL
Past
March 30, 2016 - July 28, 2025
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
Clearwater, FL
Past
June 5, 2014 - December 8, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BETHESDA, MD
Past
May 9, 2014 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CLEARWATER, FL
Past
June 1, 2009 - May 27, 2014
MORGAN STANLEY
RIA
CRD#: 149777
ROCKVILLE, MD
Past
June 1, 2009 - May 27, 2014
MORGAN STANLEY
BD
CRD#: 149777
ROCKVILLE, MD
Past
January 21, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 22, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 12
Date: 2/23/1984
NYSE Branch Manager ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BLAKELY, STRAND & WILLIAMS, INC. | VALENCIA GROUP | UMPQUA WEALTH ADVISORY | UMPQUA INVESTMENTS, INC. | STRAND, ATKINSON, WILLIAMS & YORK, INC. | STRAND, ATKINSON, WILLIAMS & YORK INC. | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | STEWARD PARTNERS GLOBAL ADVISORY, LLC | MILLER FORSYTH GROUP | LINDSEY GROUP | H.L. WIGINTON CAPITAL | GERGEN WEALTH MANAGEMENT | ENSIGN WEALTH PARTNERS
CRD#: 1254 / SEC#: 801-67179, 8-2915
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Mailing Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Phone number
(971) 353-7800
Established
Delaware since 04/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
524
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
