Adam D. 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.
Adam Drew Friedman, who also goes by Adam Friedman, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1987. Adam had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2017 - October 2, 2025
ADVOCACY WEALTH MANAGEMENT, LLC
May 12, 2014 - December 23, 2015
LINDNER CAPITAL ADVISORS, INC.
April 25, 2011 - December 31, 2012
RESOURCE HORIZONS GROUP LLC
August 5, 2009 - May 20, 2010
RBC CAPITAL MARKETS, LLC
July 27, 2001 - June 2, 2009
TRUIST SECURITIES, INC.
July 20, 1992 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
May 1, 1991 - July 9, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 1, 1991 - July 9, 1992
PRUCO SECURITIES, LLC.
July 2, 1987 - May 22, 1989
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
ADVOCACY WEALTH MANAGEMENT, LLC
CRD#: 141943 / SEC#: 801-77677
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
Series 55
Date: 3/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
ADVOCACY WEALTH MANAGEMENT, LLC
CRD#: 141943 / SEC#: 801-77677
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,917 |
| AUM (Assets Under Management) | $ 2,084,296,352 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 07/26/2024 | ||
| 10/27/2023 | ||
| 01/30/2023 |
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.
