Scott M. Fridlund
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.
Scott Michael Fridlund, who also goes by Scott M Fridlund, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1967. Scott had worked at 3 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 1986 - March 2, 1988
ASSOCIATED FINANCIAL SERVICES, INC.
July 23, 1976 - May 13, 1988
FRIDLUND SECURITIES COMPANY
November 6, 1967 - May 5, 1976
PIPER SANDLER & CO.
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 1
Date: 11/2/1967
Registered Representative ExaminationF04
Date: 6/3/1976
Financial Principal ExaminationSeries 40
Date: 4/22/1976
Registered Principal ExaminationCurrent Firm
ASSOCIATED FINANCIAL SERVICES, INC.
CRD#: 1121 / SEC#: , 8-9173
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RTM, LTD. | DIRECT OWNER | |
| MEDHUS, ROBERT H | CHIEF COMPLIANCE OFFICER, PRESIDENT, CHIEF FINANCIAL OFFICER | 1009019 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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