Leonard 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.
Leonard Friedman was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1946. Leonard had worked at 4 firms and has passed the Series 63 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1992 - December 31, 1993
MESIROW INVESTMENT SERVICES, INC.
July 3, 1979 - April 1, 1991
HAMILTON INVESTMENTS, INC.
June 4, 1970 - July 4, 1979
DICKINSON & CO.
January 15, 1946 - April 28, 1972
BOETTCHER & COMPANY, 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
PC
Date: 5/1/1979
AMEX Put and Call ExamCurrent Firm
MESIROW INVESTMENT SERVICES, INC.
CRD#: 15113 / SEC#: , 8-31630
Contact information
Documents
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.
