Robert P. Friedman
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 Paul Friedman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2017 - November 7, 2017
ALERA INVESTMENT ADVISORS, LLC
November 2, 2017 - January 31, 2022
TRIAD ADVISORS LLC
May 11, 2001 - September 30, 2010
SECURIAN FINANCIAL SERVICES, INC.
August 3, 1988 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
October 3, 1985 - August 2, 1988
CONSOLIDATED RESOURCES, INC.
Primary Firm SEC Registration
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906 / SEC#: 801-111892
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
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906 / SEC#: 801-111892
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
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.
