Laura 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.
Laura Lea Friedman was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1992. Laura had worked at 1 firm and has passed the Series 63, SIE, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1992 - October 6, 2017
FRIEDMAN, LUZZATTO & 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
Current Firm
FRIEDMAN, LUZZATTO & CO.
CRD#: 19169 / SEC#: , 8-37193
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLYLE CAPITAL MARKETS INC. | SHAREHOLDER | |
| FRIEDMAN, LAURA LEA | SHAREHOLDER DIRECTOR | 2176267 |
| LUZZATTO, BARBARA FRIEDMAN | SHAREHOLDER DIRECTOR | 1620302 |
| AMSBERRY, RICHARD FRANCIS | FINOP | 2917504 |
| BRICKEY, ARTHUR GIDEON IV | SR. VICE PRESIDENT | 2332643 |
| FRIEDMAN, BARRY LEE | CHIEF COMPLIANCE OFFICER, PRESIDENT DIRECTOR | 1620299 |
Disclosures
| Regulatory Event | 1 |
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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