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AF

Adam Friedman

BNY MELLON CAPITAL MARKETS
Boca Raton, FL
Some features on this profile are disabled
CRD#: 2296284
AF

Professional summary

Adam Friedman is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in Boca Raton, Florida and PERSHING LLC located in Boca Raton, Florida.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1993. Adam has worked at 9 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam 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®
None

Experience

Current

March 22, 2013 - Present

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
Boca Raton, FL
Current

September 17, 2013 - Present

PERSHING LLC

BD
CRD#: 7560
Boca Raton, FL
Past

October 31, 2011 - April 1, 2013

INCAPITAL DISTRIBUTORS LLC

BD
CRD#: 156622
BOCA RATON, FL
Past

July 26, 2007 - April 1, 2013

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

July 9, 2004 - June 25, 2007

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

March 28, 2001 - December 31, 2003

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

March 9, 2001 - April 5, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 10, 1996 - March 16, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 5, 1993 - September 23, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(3/22/2013)
RR
Alaska
(3/22/2013)
RR
Arizona
(3/22/2013)
RR
Arkansas
(3/22/2013)
RR
California
(3/22/2013)
RR
Colorado
(3/22/2013)
RR
Connecticut
(3/22/2013)
RR
Delaware
(3/22/2013)
RR
District of Columbia
(3/22/2013)
RR
Florida
(3/22/2013)
RR
Georgia
(3/22/2013)
RR
Hawaii
(3/22/2013)
RR
Idaho
(3/22/2013)
RR
Illinois
(3/22/2013)
RR
Indiana
(3/22/2013)
RR
Iowa
(3/22/2013)
RR
Kansas
(3/22/2013)
RR
Kentucky
(3/22/2013)
RR
Louisiana
(3/22/2013)
RR
Maine
(3/22/2013)
RR
Maryland
(3/22/2013)
RR
Massachusetts
(3/22/2013)
RR
Michigan
(3/22/2013)
RR
Minnesota
(3/22/2013)
RR
Mississippi
(3/22/2013)
RR
Missouri
(3/22/2013)
RR
Montana
(3/22/2013)
RR
Nebraska
(3/22/2013)
RR
Nevada
(11/6/2019)
RR
New Hampshire
(3/22/2013)
RR
New Jersey
(3/22/2013)
RR
New Mexico
(3/22/2013)
RR
New York
(3/22/2013)
RR
North Carolina
(11/6/2019)
RR
North Dakota
(3/22/2013)
RR
Ohio
(3/22/2013)
RR
Oklahoma
(3/22/2013)
RR
Oregon
(3/22/2013)
RR
Pennsylvania
(3/22/2013)
RR
Puerto Rico
(3/22/2013)
RR
Rhode Island
(3/22/2013)
RR
South Carolina
(3/22/2013)
RR
South Dakota
(3/22/2013)
RR
Tennessee
(3/22/2013)
RR
Texas
(3/22/2013)
RR
Utah
(3/22/2013)
RR
Vermont
(3/22/2013)
RR
Virgin Islands
(11/6/2019)
RR
Virginia
(3/22/2013)
RR
Washington
(3/22/2013)
RR
West Virginia
(3/22/2013)
RR
Wisconsin
(3/22/2013)
RR
Wyoming
(3/22/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/19/1998
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION

CRD#: 7560 / SEC#: , 8-17574

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PERSHING GROUP LLCHOLDING COMPANY
BADGER, ERIC CHRISTOPHERBOARD MEMBER8040351
CROWLEY, JAMES THOMASCHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER1087182
DAVID, ERIC CIMARRONBOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER3132045
KEARNEY, JAMES FRANCIS IIIBOARD MEMBER6388373
LOFLING, JASON ROBERTBOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)5177277
MAJIYAGBE, ELIZABETH OLAIDEBOARD MEMBER7013772
O'LAUGHLEN, VICTOR FRANCIS JRBOARD MEMBER8041737
SIMMONDS, AINSLIE JANEBOARD MEMBER6047968
VITALE, JASON DOMINICKBOARD MEMBER8038160
YOUNG, LYNN MARIECHIEF COMPLIANCE OFFICER1982726

Disclosures

Regulatory Event74
Arbitration32

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

PERSHING LLC

CRD#: 7560Boca Raton, FL

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