Henry O. 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.
Henry Owen Friedman was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1986. Henry had worked at 11 firms and has passed the SIE 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
March 21, 2016 - April 11, 2016
PORTSMOUTH FINANCIAL SERVICES
February 9, 2012 - January 8, 2016
PRINCIPAL SECURITIES, INC.
January 28, 2011 - February 3, 2012
SIGNATOR INVESTORS, INC.
December 15, 2008 - November 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
October 13, 2003 - December 16, 2008
FSC SECURITIES CORPORATION
May 25, 2001 - October 10, 2003
WALNUT STREET SECURITIES, INC.
February 26, 1999 - May 22, 2001
AMERICAN INVESTORS COMPANY
February 4, 1999 - February 26, 1999
AMERICAN INVESTORS COMPANY
May 22, 1998 - February 10, 1999
BAYSIDE FINANCIAL, LLC
January 17, 1996 - December 31, 1997
FINANCIAL WEST GROUP
April 5, 1990 - March 28, 1995
THE ADVISORS GROUP, INC.
June 18, 1986 - December 19, 1989
HORNOR, TOWNSEND & KENT, LLC
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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
