Andrew E. Friedwald

FIRST LIBERTIES FINANCIAL

TAMPA, FL 33602

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CRD#: 1354237

Professional summary

Andrew Eric Friedwald is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1985. Andrew has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Eric Friedwald's CRS (Customer Relationship Summary).

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

July 30, 2010 - Present

FIRST LIBERTIES FINANCIAL

Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602

CRD#: 14432

TAMPA, FL

Past

February 4, 2009 - July 27, 2010

AVANZA CAPITAL MARKETS INC.

CRD#: 103941

NEW YORK, NY

Past

June 17, 2003 - January 15, 2009

PALI CAPITAL, INC.

CRD#: 117783

NEW YORK, NY

Past

May 16, 2001 - August 9, 2001

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

July 24, 1995 - November 3, 1998

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

May 10, 1994 - December 22, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 26, 1985 - October 29, 1993

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

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

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
(7/30/2010)

Colorado
(7/30/2010)

Connecticut
(7/30/2010)

Delaware
(12/10/2018)

Florida
(7/30/2010)

New Jersey
(11/12/2025)

New York
(7/30/2010)

Exams

State Security Law Exam

Series 63

Date: 7/9/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/7/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST LIBERTIES FINANCIAL

FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2915 N. Boulevard Suite A, Tampa, FL 33602

Mailing Address

2915 N. Boulevard Suite A, Tampa, FL 33602

Phone number

(917) 639-5451

Established

New York since 10/12/1983

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PELION FINANCIAL GROUP, INC.	OWNER
BERGMAN, HILARY GUY	DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER	1834738

Disclosures

Regulatory Event

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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Andrew E. Friedwald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Eric Friedwald's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVANZA CAPITAL MARKETS INC.

PALI CAPITAL, INC.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

NOMURA SECURITIES INTERNATIONAL, INC.

PRUDENTIAL EQUITY GROUP, LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/2003

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/7/2001

Series 7

Date: 4/20/1985

Series 24

Date: 8/30/1994

FINRA

Current Firm

FIRST LIBERTIES FINANCIAL

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST LIBERTIES FINANCIAL

TRUST BUT VERIFY

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