Charles E. Friedmann
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.
Charles Edward Friedmann, who also goes by Charles Edward Friedmann, Charlie Friedmann, Ed Friedmann, Eddie Friedmann, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 14 firms and has passed the Series 63, SIE, 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
May 2, 2018 - December 6, 2024
KEEFE, BRUYETTE & WOODS, INC.
December 3, 2012 - July 3, 2017
G.RESEARCH, LLC
April 26, 2012 - August 7, 2012
PORTALES PARTNERS, LLC
December 1, 2009 - March 27, 2012
MACQUARIE CAPITAL (USA) INC.
September 4, 2007 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
April 6, 2005 - August 31, 2007
COCHRAN CARONIA WALLER SECURITIES LLC
December 10, 2001 - March 14, 2005
SANDLER, O'NEILL & PARTNERS, L.P.
December 12, 1989 - January 30, 2001
LAZARD FRERES & CO. LLC
February 16, 1989 - November 24, 1989
MONARCH FINANCIAL CORPORATION OF AMERICA
January 1, 1988 - January 24, 1989
APPLE FINANCIAL CORPORATION
February 18, 1987 - January 1, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
February 2, 1987 - December 22, 1987
L T SECURITIES, INC.
October 4, 1984 - January 19, 1987
CITIGROUP GLOBAL MARKETS INC.
January 5, 1984 - October 13, 1984
TD AMERITRADE, INC.
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
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| 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.
