Thomas W. Friedberg

SUTTER CAPITAL PARTNERS

Irvine, CA 92168

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CRD#: 1242108

Professional summary

Thomas William Friedberg, who also goes by Thomas W Friedberg, is a registered financial advisor currently at SUTTER CAPITAL PARTNERS, LLC located in Irvine, California and BOUSTEAD SECURITIES, LLC located in Irvine, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 87, Series 86, Series 7, Series 14, Series 4, Series 24 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas W Friedberg

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) MINERAL KING PARTNERS, LLC, NO IR, DENVER, CO, BUSINESS CONSULTING, 100% OWNER, 01/2006, 10 HR/MO. (2) Sutter Securities Inc., IR, San Francisco, CA, Investment Banking, Independent Contractor, 5/2019, 20hrs/month (3) Sutter Securities Financial Services, Inc., No IR, San Francisco, CA, Valuations Opinions ad Testimony services, Independent Contractor, 5/2019, 20hrs/month (4) Boustead Securities LLC, Investment-related brokerage services, Irvine, CA, 10 hrs/month --- In Home Supportive Services (IHSS) of Marin County10 North San Pedro Road, San Rafael, CA 94903 www.marinihhs.com. Start Date Mar 08, 2022. Duties Disabled Friend of 40+ Years asked for help with household tasks. Non-investment related. Work time 40 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Friedberg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 3, 2021 - Present

SUTTER CAPITAL PARTNERS, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92168

RIA

CRD#: 312689

Irvine, CA

Current

March 8, 2007 - Present

BOUSTEAD SECURITIES, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92618

CRD#: 141391

Irvine, CA

Current

May 13, 2019 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 6 Venture, Suite 395 Suite 395, Irvine, CA 92618

CRD#: 30770

Irvine, CA

Past

January 20, 2021 - July 21, 2021

SUTTER CAPITAL PARTNERS, LLC

RIA

CRD#: 288442

Irvine, CA

Past

September 15, 2017 - November 21, 2019

SUTTER SECURITIES CLEARING, LLC

CRD#: 134742

IRVINE, CA

Past

September 10, 2002 - March 8, 2005

JANCO PARTNERS, INC.

CRD#: 40055

GREENWOOD VILLAGE, CO

Past

February 4, 2002 - August 13, 2002

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

Past

July 5, 2000 - November 10, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 19, 1997 - June 5, 2000

JANCO PARTNERS, INC.

CRD#: 40055

GREENWOOD VILLAGE, CO

Past

September 10, 1991 - January 14, 1997

COWEN PRIME SERVICES TRADING LLC

CRD#: 23857

NEW YORK, NY

Past

October 26, 1987 - March 26, 1990

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/8/2007)

IAR

California
(6/3/2021)

Nebraska
(8/17/2023)

Texas
(9/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/11/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 87

Date: 8/29/2010

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 5/24/2010

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 2/15/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 7/16/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 4/12/2002

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

SUTTER CAPITAL PARTNERS, LLC

SUTTER CAPITAL PARTNERS | TESSERA CAPITAL | SUTTER CAPITAL PARTNERS, LLC

CRD#: 312689 / SEC#:

California

Registered Investment Advisory firm - (5/5/2021 Approved)

Connecticut

Registered Investment Advisory firm - (11/13/2024 Terminated)

Illinois

Registered Investment Advisory firm - (12/7/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (11/13/2024 Terminated)

New York

Registered Investment Advisory firm - (11/12/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6 Venture Suite 395, Irvine, CA 92168

Mailing Address

Phone number

(917) 923-9649

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Thomas W. Friedberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Friedberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOUSTEAD SECURITIES, LLC

SUTTER SECURITIES INCORPORATED

SUTTER CAPITAL PARTNERS, LLC

SUTTER SECURITIES CLEARING, LLC

JANCO PARTNERS, INC.

BREAN MURRAY & CO., INC.

TUCKER ANTHONY INCORPORATED

JANCO PARTNERS, INC.

COWEN PRIME SERVICES TRADING LLC

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2015

Series 63

Date: 11/9/1987

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 6/11/2018

Series 87

Date: 8/29/2010

Series 86

Date: 5/24/2010

Series 7

Date: 10/17/1987

Series 14

Date: 2/15/2024

Series 4

Date: 7/16/2012

Series 24

Date: 2/10/2012

Series 9

Date: 4/12/2002

FINRA

Current Firm

SUTTER CAPITAL PARTNERS, LLC

Contact information

Documents

Red Flags

Company Information

SUTTER CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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