Sidney J. 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.
Sidney Joseph Friedman was a registered financial professional .
Sidney is a previously registered financial professional and started their career in finance in 1972. Sidney had worked at 10 firms and has passed the Series 63, Series 7, Series 5, 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
January 1, 2009 - June 16, 2014
R.W.PRESSPRICH & CO.
October 17, 1991 - August 9, 1995
CIBC WORLD MARKETS CORP.
June 1, 1988 - November 14, 1990
UBS FINANCIAL SERVICES INC.
June 8, 1984 - October 23, 1987
J.P. MORGAN SECURITIES LLC
July 1, 1982 - April 30, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
January 31, 1979 - May 28, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
January 2, 1979 - October 20, 1983
SANFORD C. BERNSTEIN & CO., INC.
April 12, 1977 - January 10, 1978
LOEB RHOADES & CO. INC.
December 3, 1975 - April 17, 1977
GOLDMAN SACHS & CO. LLC
June 7, 1974 - November 1, 1975
SALOMON BROTHERS INC.
December 15, 1972 - July 12, 1974
FINANCIAL SQUARE PARTNERS
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 5
Date: 10/5/1982
Interest Rate Options ExaminationSeries 1
Date: 12/11/1972
Registered Representative ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CAUMARTIN, RENAUD | BOARD MEMBER | 3266876 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
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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