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Seth E. Friedman

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CRD#: 1581542
SF

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.

Seth Elliot Friedman was a registered financial professional .

Seth is a previously registered financial professional and started their career in finance in 1986. Seth had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1). ROCKINGHAM ESSEX CONSULTING; NON-INVESTMENT RELATED; 6538 VIA VICENZA, DELRAY BEACH, FLORIDA 33446; BUSINESS CONSULTING SERVICES; OWNER/CONSULTANT SINCE 01/2016; HOURS PER MONTH: 20; HOURS PER TRADING: 10. 2). TURING TECHNOLOGY / HERTECH; NON-INVESTMENT RELATED:1000 N WEST ST, SUITE 1200, WILIMINGTON DE 19801; PROVIDER OF AI TECHNOLOGY FOR FINANCIAL SERVICES INDUSTRY; MANAGING DIRECTOR SINCE 02/2018; HOURS PER MONTHL: 80; HOURS DURING TRADING: 60

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

September 1, 2023 - March 28, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
LAKE WORTH, FL
Past

August 2, 2013 - April 4, 2016

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
SALEM, NH
Past

May 27, 2009 - December 14, 2012

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
SALEM, NH
Past

July 29, 2004 - June 27, 2008

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
DANBURY, CT
Past

January 10, 2002 - June 29, 2004

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

September 20, 2001 - July 9, 2004

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

June 13, 2000 - September 19, 2001

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

September 9, 1999 - June 13, 2000

AFD, INC.

BD
CRD#: 34047
NORTHBROOK, IL
Past

October 1, 1993 - April 9, 1999

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

December 22, 1987 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY
Past

December 22, 1987 - December 31, 1991

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

October 30, 1986 - November 26, 1986

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/29/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/9/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RP
REDWOOD PRIVATE WEALTH
ACCELERATED WEALTH STRATEGIES | WEALTH PLANNERS ADVISORY GROUP | VET WEALTH | TRAKAS FINANCIAL LLC | TJ BEEMAN ADVISORY GROUP, INC. | THE RETIREMENT ASSET MANAGEMENT GROUP | TERRY MORTON WEALTH ADVISORS, LLC | TAMPA BAY ADVISORY, LLC | STRATEGIC ASSET MANAGEMENT, LTD. | RETIREMENT FINANCIAL CONSULTANTS LLC | RETIREMENT AND INVESTMENT SOLUTIONS, LLC | REDWOOD PRIVATE WEALTH, LLC | REDWOOD PRIVATE WEALTH | OSTB WEALTH STRATEGIES | NICOLAYSEN WEALTH PARTNERS, INC. | NEXTFOLIO | NEW CENTURY CAPITAL MANAGEMENT LLC | MKT INVESTMENTS, LLC | MKT INVESTMENTS | METROKAS-KAMISON ASSOCIATES | MATTHEWS INVESTMENT COMPANY | MARTIN SHAPIRO FINANCIAL SERVICES | MAIN STREET FINANCIAL STRATEGIES | LIVE LIFE WELL FINANCIAL | JNORTH FINANCIAL, LLC | INSPIRE WEALTH | HEARTFELT FINANCIAL SOLUTIONS, LLC | GOLD FEDERAL ADVISORS | FOCAL POINT FINANCIAL SERVICES | EVANS FINANCIAL GROUP, LLC | COMPASS WEALTH STRATEGIES | CASON FINANCIAL GROUP | BREESE FINANCIAL GROUP LLC | BLACKSTONE WEALTH PROTECTORS | BLACK WEALTH FINANCIAL | ADVISORS FINANCIAL PLANNING GROUP

CRD#: 312942 / SEC#: 801-120723

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Contact information

Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
61

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/31/2024)

Regulatory assets under management

Total Number of Accounts1,788
AUM (Assets Under Management)$ 267,560,801

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.

Company Information

REDWOOD PRIVATE WEALTH

CRD#: 312942

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