Richard A. Fried
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.
Richard Alen Fried was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 000, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2011 - January 5, 2016
LADENBURG THALMANN ASSET MANAGEMENT INC
October 12, 2004 - January 5, 2016
LADENBURG THALMANN & CO. INC.
July 7, 1999 - March 3, 2000
CIBC WORLD MARKETS CORP.
January 14, 1997 - April 1, 1999
J.P. MORGAN SECURITIES INC.
April 25, 1994 - July 1, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1993 - October 1, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
March 26, 1984 - May 15, 1989
MORGAN STANLEY & CO. LLC
January 7, 1980 - March 21, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1974 - October 12, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 27, 1972 - September 10, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
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 000
Date: 9/25/1972
General Securities Principal ExaminationSeries 1
Date: 9/25/1972
Registered Representative ExaminationSeries 8
Date: 3/22/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
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.
