Robert A. Friedlaender
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.
Robert Alan Friedlaender, who also goes by Robert A Friedlaender, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 5 firms and has passed the Series 63, Series 72, Series 3, 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
October 1, 2004 - November 15, 2005
REFCO SECURITIES, LLC
June 1, 1992 - December 23, 1996
CREDIT SUISSE SECURITIES (USA) LLC
March 20, 1990 - May 29, 1992
KIDDER, PEABODY & CO. INCORPORATED
August 25, 1988 - October 25, 1988
BNY SECURITIES, INC.
July 25, 1987 - February 19, 1988
THE MOCATTA CORPORATION
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 72
Date: 9/29/2004
Government Securities Representative ExaminationCurrent Firm
REFCO SECURITIES, LLC
CRD#: 14094 / SEC#: , 8-26718
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 3 |
| Bond | 1 |
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.
