Marvin I. Friedman
Professional summary
Marvin Irwin Friedman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marvin is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Marvin had worked at 6 firms, which includes DIRECT BROKERAGE INC., LAM WAGNER INC., AIMCO SECURITIES COMPANY INC., SUTRO & CO. INCORPORATED, MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, HANOVER SQUARE SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 1994 - January 15, 1995
DIRECT BROKERAGE, INC.
April 29, 1993 - July 5, 1994
LAM WAGNER, INC.
September 8, 1987 - March 30, 1993
AIMCO SECURITIES COMPANY, INC.
February 6, 1986 - April 27, 1987
SUTRO & CO. INCORPORATED
August 27, 1984 - December 27, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
February 25, 1983 - May 24, 1983
HANOVER SQUARE SECURITIES GROUP INC.
State Registrations and Notice Filings
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Exams
Series 000
Date: 10/10/1962
General Securities Principal ExaminationCurrent Firm
DIRECT BROKERAGE, INC.
CRD#: 24907 / SEC#: , 8-41225
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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