SF
Steven M. Friedman
GLADSTONE WEALTH PARTNERS
OMAHA, NE 68144
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CRD#: 214734
SF
Professional summary
Steven Michael Friedman, who also goes by Steven M Friedman, is a registered financial advisor currently at GLADSTONE WEALTH PARTNERS located in Omaha, Nebraska and LPL FINANCIAL LLC located in Omaha, Nebraska.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Steven has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, PC, Series 1, Series 24, Series 9, Series 10, Series 4, Series 00 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven M Friedman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 1/20/2022 - Friedman Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/18/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent: 50%. 2) 1/20/2022 - Silverleaf Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/18/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent: 50%. 3) 04/12/2022 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Silverleaf Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - Start Date: 01/20/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent: 50% - I provide administrative support to Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity in 04/2022 expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 04/12/2022 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Start Date: 01/20/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent: 50% - I provide administrative support to Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity in 04/2022 expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 04/12/2022 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Friedman Financial Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - Start Date: 01/18/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent: 50% - I provide administrative support to Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity in 04/2022 expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 01/2022 - LPL Financial - broker-dealer Registered Admin - Investment Related - At Reported Business Location(s) - 80 hours a month during securities trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Friedman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 4, 2022 - Present
GLADSTONE WEALTH PARTNERS
Office #1: 12801 Pierce St. #100, Omaha, NE 68144RIA
CRD#: 250787
OMAHA, NE
Current
January 20, 2022 - Present
LPL FINANCIAL LLC
Office #1: 12801 Pierce St, Ste 100, Omaha, NE 68144RIA
BD
CRD#: 6413
Omaha, NE
Past
May 1, 2017 - February 4, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
OMAHA, NE
Past
April 27, 2017 - February 4, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
OMAHA, NE
Past
August 27, 2010 - April 28, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OMAHA, NE
Past
May 11, 1998 - April 28, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OMAHA, NE
Past
September 1, 1994 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
December 2, 1988 - September 1, 1994
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
June 14, 1972 - December 5, 1988
RODMAN & RENSHAW INC.
BD
CRD#: 724
Past
November 1, 1968 - July 3, 1972
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 209
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Nebraska(1/20/2022)
IAR
Nebraska(2/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 6/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 11/24/1967
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 6/30/1972
General Securities Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 6/30/1972
NYSE Branch Manager ExaminationSRO Registrations
RR
FINRA
Current Firm
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2000 Pga Blvd. Suite 4440, Palm Beach Gardens, FL 33408
Mailing Address
1545 Us-206 Suite 300, Bedminster, NJ 07921
Phone number
(908) 719-1313
Established
Firm type
Fiscal year end
# of Employees
163
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,810 |
| AUM (Assets Under Management) | $ 4,943,971,956 |
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.
Company Information
GLADSTONE WEALTH PARTNERS
CRD#: 250787Omaha, NE 68144TRUST BUT VERIFY
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