Carl A. Friedrich

EXCELSIOR

UPPER BROOKVILLE, NY

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CRD#: 2588466

Professional summary

Carl August Friedrich, CFP® is a registered financial advisor currently at EXCELSIOR located in Upper Brookville, New York.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Carl has worked at 8 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) GOSCHMOOZE, INC.; NOT INVESTMENT-RELATED; 14 ORCHARD DRIVE, WESTBURY, NY 11797; BUSINESS NETWORKING; DIRECTOR; STARTED 2011; ZERO HOURS PER MONTH; SHAREHOLDER AND MEMBER OF BOARD OF DIRECTORS 2) NEW YORK UNIVERSITY; NOT INVESTMENT-RELATED; 7 E 12TH ST, NEW YORK, NY 10003; UNIVERSITY; ADJUNCT INSTRUCTOR; STARTED 07/2024; APPROXIMATELY 10 HOURS PER MONTH, ZERO HOURS DURING SECURITIES TRADING HOURS; TEACH GRADUATE SCHOOL COURSES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl August Friedrich's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

April 15, 2021 - Present

EXCELSIOR

Office #2: 200 Broadhollow Road Suite 207, Melville, NY 11747

RIA

CRD#: 311850

UPPER BROOKVILLE, NY

Past

April 15, 2021 - December 31, 2024

FCCI CONSULTING, LLC

RIA

CRD#: 111457

EAST NORTHPORT, NY

Past

February 25, 2009 - August 5, 2009

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ROCKVILLE CENTRE, NY

Past

January 15, 2009 - January 30, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SYOSSET, NY

Past

May 15, 2001 - December 31, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

April 7, 1998 - May 15, 2001

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

October 13, 1997 - March 2, 1998

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

May 9, 1995 - August 5, 1996

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/15/2021)

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 65

Date: 3/5/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 3/17/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/8/1995

General Securities Representative Examination

Current Firm

EXCELSIOR

EXCELSIOR | EXCELSIOR INVESTMENT ADVISORS, LLC

CRD#: 311850 / SEC#: 801-120085

RIA

Registered Investment Advisory firm - (3/11/2025 Terminated)

New York

Registered Investment Advisory firm - (3/10/2025 Approved)

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).

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Contact information

Main Address

200 Broadhollow Road Suite 207, Melville, NY 11747

Mailing Address

Phone number

(516) 765-7400

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 18,209,548

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

Carl A. Friedrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl August Friedrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

FCCI CONSULTING, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

GOLDMAN SACHS & CO. LLC

NOMURA SECURITIES INTERNATIONAL, INC.

NATWEST SECURITIES CORPORATION

NATIXIS SECURITIES AMERICAS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/2009

Series 63

Date: 9/18/1995

Series 55

Date: 3/17/2000

Series 7

Date: 5/8/1995

Current Firm

EXCELSIOR

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EXCELSIOR

TRUST BUT VERIFY

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