Garth (. Friesen
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.
Garth (nmn) Friesen, who also goes by Garth Friesen, was a registered financial professional .
Garth is a previously registered financial professional and started their career in finance in 1994. Garth had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24 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
March 26, 2015 - December 31, 2015
METRIC ADVISORS LLC
February 3, 1999 - May 12, 2022
AVM, L.P.
March 21, 1997 - April 27, 1998
UBS SECURITIES LLC
November 17, 1994 - December 9, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
METRIC ADVISORS LLC
CRD#: 174880 / SEC#: 801-81026
Contact information
Documents
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.
