Samuel D. 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.
Samuel David Friedman was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1970. Samuel had worked at 11 firms and has passed the Series 63, Series 3, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 1996 - September 11, 1997
EARNHARDT CO., INC.
January 4, 1996 - July 16, 1996
BG CAPITAL, INC.
May 5, 1994 - July 18, 1995
LAMBORN SECURITIES INCORPORATED
October 9, 1991 - December 7, 1993
REFCO SECURITIES, LLC
November 30, 1990 - September 13, 1991
ACA/PRUDENT INVESTORS PLANNING COMPANY
December 21, 1989 - June 12, 1990
IPSUN-LING FINANCIAL GROUP, INC.
June 21, 1989 - October 25, 1989
IPSUN-LING FINANCIAL GROUP, INC.
November 30, 1983 - June 20, 1989
J F LOWE & COMPANY INCORPORATED
February 24, 1978 - June 20, 1989
MORGAN STANLEY DW INC.
February 25, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
December 15, 1975 - March 14, 1977
SCHRODER & CO. INC.
July 15, 1970 - July 5, 1973
AANAMETRICS, 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
Series 1
Date: 12/10/1975
Registered Representative ExaminationCurrent Firm
EARNHARDT CO., INC.
CRD#: 36209 / SEC#: , 8-47056
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LONERGAN, EDMOND LAURENCE | SHAREHOLDER | |
| NICOLAOU, NICHOLAS | SHAREOWNER | 2901449 |
| SPATOLA, NICK J | SHAREOWNER | 3053271 |
| FAVOR, RONALD SR | SHAREOWNER | 2934119 |
| BREDHOFF, RICHARD THEODORE | PRESIDENT, CCO, CFO, CROP, SROP | 1425420 |
| GILBURD, MICHAEL SIDNEY | CHAIRMAN AND CEO | 1299254 |
| POSSES, EVAN JONATHAN | MANAGING DIRECTOR | 2257185 |
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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