Daniel J Friedman
Professional Summary
Daniel J Friedman, who also goes by Daniel Jay Friedman, is a registered financial advisor currently at WMGNA located in Farmington, Connecticut. Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Daniel has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Jay Friedman
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
WEALTH MANAGEMENT GROUP OF NORTH AMERICA, LLC | WMGNA; AND WMGNA, LLC | WMGNA, LLC | WMGNA
Contact Information
Main Address
10 Talcott Notch Road Suite 103, Farmington, CT 06032Phone Number
(860) 679-5255# of Employees
9SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
983AUM (Assets Under Management)
$346,446,708Similar Advisors
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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.
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Primary Firm SEC Registration
WEALTH MANAGEMENT GROUP OF NORTH AMERICA, LLC | WMGNA; AND WMGNA, LLC | WMGNA, LLC | WMGNA
State Registrations and Notice Filings
(5/23/1997)
(10/9/2000)
(4/19/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel J Friedman's CRS (Customer Relationship Summary).
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