Stephen N. 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.
Stephen Nmn Friedman, who also goes by Stephen Friedman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 2 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2014 - December 31, 2021
STONE POINT CAPITAL LLC
June 15, 1970 - August 13, 1996
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
STONE POINT CAPITAL LLC
CRD#: 156521 / SEC#: 801-74033
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: 9/20/1968
Registered Representative ExaminationSeries 40
Date: 6/11/1970
Registered Principal ExaminationCurrent Firm
STONE POINT CAPITAL LLC
CRD#: 156521 / SEC#: 801-74033
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 56,767,259,546 |
Red Flags
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