Herman 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.
Herman Friedman was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1969. Herman had worked at 7 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 1996 - May 15, 1997
THE WINDMILL GROUP, INC.
July 15, 1992 - December 19, 1994
FIRST EASTERN EQUITY CORP.
September 16, 1987 - August 9, 1990
RUTLAND SECURITIES L.P.
November 11, 1986 - October 5, 1987
NEMETZ CAPITAL CORP.
June 24, 1982 - December 2, 1983
NORBAY SECURITIES INC.
November 5, 1974 - December 5, 1975
CNA SALES, INC.
January 7, 1969 - September 22, 1977
OLD SLIP CAPITAL MANAGEMENT, INC.
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
Current Firm
THE WINDMILL GROUP, INC.
CRD#: 8384 / SEC#: 801-120154, 8-25280
Contact information
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 32,101,709 |
Disclosures
| Regulatory Event | 3 |
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.
