Philip R. Friedenn
Professional summary
Philip Ralph Friedenn JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Philip had worked at 5 firms, which includes PREFERRED SECURITIES GROUP INC., L.M. KOHN & COMPANY, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., EURO-ATLANTIC SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1997 - December 31, 1997
PREFERRED SECURITIES GROUP, INC.
July 11, 1995 - December 10, 1996
L.M. KOHN & COMPANY
June 16, 1994 - June 12, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 16, 1994 - June 12, 1995
SIGNATOR INVESTORS, INC.
September 29, 1993 - November 2, 1993
EURO-ATLANTIC SECURITIES INC.
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
PREFERRED SECURITIES GROUP, INC.
CRD#: 35704 / SEC#: , 8-46946
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STOCNET CORPORATION | SHAREHOLDER | |
| GENNA, JOHN VINCENT JR | SHAREHOLDER | 2765236 |
| VARANO, NICHOLAS | SHAREHOLDER | 4246252 |
| BADGER, BERKLEY CREIGHTON | MUNI PRINCIPAL | 713972 |
| HOHMAN, MICHAEL JAMES | FIN/OP | 3031942 |
| LESSINGER, VICTOR ALAN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 830821 |
| MCLEOD, GREGORY MALCOLM | SENIOR OPTION PRINCIPAL | 2741097 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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.
