Richard S. Friedman

FUNDS DISTRIBUTOR

San Francisco, CA 94111

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CRD#: 1985554

Professional summary

Richard Steven Friedman, who also goes by Richard Friedman, is a registered financial professional currently at FUNDS DISTRIBUTOR, LLC located in San Francisco, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Friedman

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 Richard Steven Friedman'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

May 21, 2013 - Present

FUNDS DISTRIBUTOR, LLC

Office #1: 1160 Battery Street East, San Francisco, CA 94111

CRD#: 7174

San Francisco, CA

Past

May 24, 2011 - April 1, 2013

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN FRANCISCO, CA

Past

April 8, 2011 - April 1, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN FRANCISCO, CA

Past

October 1, 1997 - April 17, 1998

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 19, 1995 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

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
(5/21/2013)

Massachusetts
(5/21/2013)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/20/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/13/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/7/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 3/26/2021

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

FUNDS DISTRIBUTOR, LLC

FUNDS DISTRIBUTOR, INC. | THE BOSTON COMPANY CAPITAL GROUP, INC. | TBC FUNDS DISTRIBUTOR, INC. | FUNDS DISTRIBUTOR, LLC

CRD#: 7174 / SEC#: , 8-20518

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

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 01/01/2008

Firm type

Limited Liability Company

Fiscal year end

December

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#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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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Advisor Monitoring

Firm Stability Insights

Richard S. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Steven Friedman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2011

Series 63

Date: 11/20/1995

SIE

Date: 10/1/2018

Series 3

Date: 6/13/2013

Series 7

Date: 4/7/2011

Series 30

Date: 3/26/2021

FINRA

Current Firm

FUNDS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FUNDS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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