Marc A. Freedman
Professional summary
Marc Allan Freedman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Marc had worked at 8 firms, which includes TRICAPITAL ADVISORS INC, ENERIC FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, GRUNTAL & CO. L.L.C., E. F. HUTTON & COMPANY INC, CITIGROUP GLOBAL MARKETS INC., WESTPORT FINANCIAL GROUP INC., CLAYTON BROKERAGE CO. OF ST. LOUIS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1999 - June 8, 2006
TRICAPITAL ADVISORS INC
August 17, 1993 - December 31, 1998
ENERIC FINANCIAL SERVICES, INC.
October 29, 1990 - July 28, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 11, 1986 - October 31, 1990
GRUNTAL & CO., L.L.C.
November 12, 1984 - July 25, 1986
E. F. HUTTON & COMPANY INC
September 5, 1984 - October 29, 1984
CITIGROUP GLOBAL MARKETS INC.
April 16, 1984 - August 17, 1984
WESTPORT FINANCIAL GROUP, INC.
July 20, 1983 - May 3, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/8/1982
Foreign Currency Options ExaminationSeries 8
Date: 7/26/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRICAPITAL ADVISORS INC
CRD#: 109224 / SEC#: 801-55933
Contact information
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