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MF

Marilyn Joyce Freedman

CRD# 1301694·Registered 1984 - 2014
Previously Registered: Being a previously registered professional could mean that Marilyn 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.

Professional Summary

Marilyn Joyce Freedman, who also goes by Marilyn Joyce Mankowsky Freedman, was a registered financial advisor. Marilyn was a previously registered financial professional and started their career in finance 1984 - 2014. Marilyn had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marilyn Joyce Mankowsky Freedman

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years registered in the securities industry

Current & Past Employments

Past

BRAVER STERN SECURITIES LLCPast·CRD# 29108
BD
Boston, MA
August 9, 2013 - August 18, 2014
BRAVER STERN SECURITIES LLCPast·CRD# 29108
BD
New York, NY
April 1, 2013 - August 8, 2013
QUINCY CASS ASSOCIATES, INCORPORATEDPast·CRD# 686
RIA
Boston, MA
August 16, 2012 - November 29, 2012
QUINCY CASS ASSOCIATES, INCORPORATEDPast·CRD# 686
BD
Boston, MA
February 17, 2012 - November 29, 2012
OPPENHEIMER & CO. INC.Past·CRD# 249
RIA
Boston, MA
March 20, 2006 - February 21, 2012
OPPENHEIMER & CO. INC.Past·CRD# 249
BD
Boston, MA
April 21, 2005 - February 21, 2012
LEGG MASON WOOD WALKER, INCORPORATEDPast·CRD# 6555
BD
Baltimore, MD
March 26, 2001 - April 25, 2005
EDWARD JONESPast·CRD# 250
BD
St. Louis, MO
October 7, 1996 - March 27, 2001
LPL FINANCIAL LLCPast·CRD# 6413
BD
Fort Mill, SC
March 18, 1996 - October 15, 1996
CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059
BD
New York, NY
July 31, 1993 - March 28, 1996
LEHMAN BROTHERS INC.Past·CRD# 7506
BD
New York, NY
January 4, 1993 - July 31, 1993
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
BD
Weehawken, NJ
October 11, 1992 - January 22, 1993
FIDELITY BROKERAGE SERVICES LLCPast·CRD# 7784
BD
Smithfield, RI
March 16, 1992 - September 29, 1992
J.P. MORGAN SECURITIES LLCPast·CRD# 79
BD
September 20, 1984 - January 20, 1989

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Current Firm

BS
BRAVER STERN SECURITIES LLC

BRAVER STERN & CO. SECURITIES, LLC | WHITE, WELD & CO. WEALTH MANAGEMENT | WHITE, WELD & CO. SECURITIES, LLC | WHITE, WELD & CO. SECURITES, LLC | HALSEY, STUART & CO. ASSET MANAGEMENT, LLC | BRAVER, STERN SECURITIES CORP. | BRAVER STERN SECURITIES LLC | BRAVER STERN SECURITES LLC

CRD#: 29108 / SEC#: 801-79168, 8-43611
BD
Terminated by SEC on 01/02/2015

Contact Information

Established

Delaware since 01/07/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

HALSEY STUART (6/26/2014)

Direct owners and executive officers

NamePositionCRD#
BRAVER STERN & CO. FINANCIAL SERVICES, LLCOWNER / MEMBER—
RANKEL, WILLIAM EDWINFIN/OP2074785
SANICOLA, LAWRENCECHIEF COMPLIANCE OFFICER / MANAGING MEMBER703184

Disclosures

Regulatory Event

1

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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