Michael L. 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.
Michael Lawrence Friedman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1968. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 1, Series 27, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1985 - December 8, 2015
FIRST NEW YORK SECURITIES L.L.C.
July 2, 1976 - June 12, 1985
LADENBURG THALMANN & CO. INC.
January 31, 1975 - July 2, 1976
LADENBURG THALMANN & COMPANY INCORPORATED
May 1, 1974 - January 18, 1975
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 9, 1968 - June 13, 1974
STEINDECKER & 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 55
Date: 4/12/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 1/11/1965
Registered Representative ExaminationF04
Date: 1/16/1975
Financial Principal ExaminationSeries 00
Date: 1/26/1968
General Securities Principal ExaminationCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
