Harry Friedman

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CRD#: 2548017

Professional summary

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

Harry is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Harry had worked at 12 firms, which includes GLOBAL ARENA CAPITAL CORP, PRESTIGE FINANCIAL CENTER INC., SLOAN SECURITIES CORP., AURA FINANCIAL SERVICES INC., FIRST MONTAUK SECURITIES CORP., GLENN MICHAEL FINANCIAL INC., GRAYSON FINANCIAL LLC, PANTA MANAGEMENT INCORPORATED, PLATINUM EQUITIES INC., SCHNEIDER SECURITIES INC., PHD CAPITAL, STERLING FOSTER & COMPANY INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Harry (nmn) Friedman

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®

CRD#: 38785

NEW YORK, NY

Past

October 19, 1994 - February 21, 1997

STERLING FOSTER & COMPANY, INC.

CRD#: 36052

UNIONDALE, NY

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.

Exams

State Security Law Exam

Series 63

Date: 2/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/1996

General Securities Principal Examination

Current Firm

GLOBAL ARENA CAPITAL CORP

EQUITIES TRADING CORP. | GLOBAL ARENA CAPITAL CORP | EQUITIES TRADING CORPORATION

CRD#: 16871 / SEC#: , 8-34661

Terminated by SEC on 08/08/2015

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 06/17/1985

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GLOBAL ARENA HOLDING INC.	OWNER
PMC CAPITAL LLC	OWNER
BRUNO, VINCENT MICHAEL	CHIEF COMPLIANCE OFFICER	1845833
DESIDERIO, BARBARA LUCILLE	FINOP	2080713
DESIDERIO, BARBARA LUCILLE	NONE	2080713

Disclosures

Regulatory Event	4
Arbitration	1
Financial	1

Red Flags

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Advisor Monitoring

Firm Stability Insights

Harry Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRESTIGE FINANCIAL CENTER, INC.

SLOAN SECURITIES CORP.

AURA FINANCIAL SERVICES, INC.

FIRST MONTAUK SECURITIES CORP.

GLENN MICHAEL FINANCIAL, INC.

GRAYSON FINANCIAL LLC

PANTA MANAGEMENT, INCORPORATED

PLATINUM EQUITIES, INC.

GLENN MICHAEL FINANCIAL, INC.

SCHNEIDER SECURITIES, INC.

PHD CAPITAL

STERLING FOSTER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/1995

Series 7

Date: 10/18/1994

Series 24

Date: 4/16/1996

Current Firm

GLOBAL ARENA CAPITAL CORP

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GLOBAL ARENA CAPITAL CORP

TRUST BUT VERIFY

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