Dean S. Friedman

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CRD#: 2366709

Professional summary

Dean Scott Friedman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dean is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Dean had worked at 6 firms, which includes SYNDICATED CAPITAL INC., WEDBUSH SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, NATIONAL SECURITIES CORPORATION, D.L. CROMWELL INVESTMENTS INC., STRATTON OAKMONT INC..

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 6, 2015 - December 22, 2015

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

March 26, 2008 - August 31, 2015

SYNDICATED CAPITAL, INC.

CRD#: 29037

ROSLYN, NY

Past

June 26, 2007 - April 4, 2008

WEDBUSH SECURITIES INC.

CRD#: 877

NEW YORK, NY

Past

April 12, 2005 - June 27, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

NEW YORK, NY

Past

January 13, 2005 - April 8, 2005

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

July 10, 2000 - January 21, 2005

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

May 19, 1999 - July 20, 2000

D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730

BOCA RATON, FL

Past

January 28, 1997 - November 16, 1998

D.L. CROMWELL INVESTMENTS, INC.

CRD#: 37730

Past

August 19, 1993 - December 20, 1996

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

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".

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

Washington

Registered Investment Advisory firm - SEC (12/11/2025 Termination Requested)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/19/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/17/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/18/1997

General Securities Principal Examination

Current Firm

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

Washington

Registered Investment Advisory firm - SEC (12/11/2025 Termination Requested)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765

Mailing Address

P. O. Box 274, Brea, CA 92822

Phone number

(310) 751-7098

Established

California since 02/24/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV II (3/29/2025)

Direct owners and executive officers

Name	Position	CRD#
SC ADD HOLDINGS, LLC	OWNER
BAINES AND MCADAMS LIVING TRUST	OWNER
BAINES, HEATHER UNA	TRUSTEE OF BAINES & MCADAMS LIVING TRUST	2173889
LEE, FAITH	PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC	2715226
MCADAMS, JOSEPH LLOYD JR	SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST	2173886
THORNTON, STEVEN LEE	FINANCIAL AND OPERATIONS PRINCIPAL	4496384

Regulatory assets under management

Total Number of Accounts	393
AUM (Assets Under Management)	$ 122,987,781

Disclosures

Regulatory Event	4
Arbitration	1

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.

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Firm Stability Insights

Dean S. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYNDICATED CAPITAL, INC.

WEDBUSH SECURITIES INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

NATIONAL SECURITIES CORPORATION

D.L. CROMWELL INVESTMENTS, INC.

D.L. CROMWELL INVESTMENTS, INC.

STRATTON OAKMONT INC.

Primary Firm SEC Registration

SYNDICATED CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2010

Series 63

Date: 8/30/1993

SIE

Date: 12/22/2015

Series 55

Date: 11/19/2009

Series 7

Date: 5/17/1999

Series 24

Date: 6/18/1997

Current Firm

SYNDICATED CAPITAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SYNDICATED CAPITAL, INC.

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