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CF

Carl A. Friedrich

EXCELSIOR
UPPER BROOKVILLE, NY
Some features on this profile are disabled
CRD#: 2588466
CF

Professional summary

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

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Carl has worked at 9 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.
The advisor shows no other business activity.

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
Current

May 13, 2026 - Present

FARTHER

Office #1: 200 Broadhollow Rd. Suite 207, Melville, NY 11747
RIA
CRD#: 302050
Melville, 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.

BD
CRD#: 18487
ROCKVILLE CENTRE, NY
Past

January 15, 2009 - January 30, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SYOSSET, NY
Past

May 15, 2001 - December 31, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

April 7, 1998 - May 15, 2001

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

October 13, 1997 - March 2, 1998

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

May 9, 1995 - August 5, 1996

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, 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".
FA
FARTHER
BELLINGHAM CAPITAL MANAGEMENT | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | NORTH SISTER WEALTH | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FORTRESS WEALTH MANAGEMENT, INC. | FARTHER FINANCE ADVISORS, LLC | FARTHER | CROOKED TREE CAPITAL ADVISORS

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 Approved)

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)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/17/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/8/1995
General Securities Representative Examination

Current Firm

FA
FARTHER
BELLINGHAM CAPITAL MANAGEMENT | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | NORTH SISTER WEALTH | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FORTRESS WEALTH MANAGEMENT, INC. | FARTHER FINANCE ADVISORS, LLC | FARTHER | CROOKED TREE CAPITAL ADVISORS

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 Approved)
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Contact information

Main Address
345 California Street Suite 600, San Francisco, CA 94104
Mailing Address
Phone number
(628) 246-8004
Established
Firm type
Fiscal year end
# of Employees
275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)
FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts24,245
AUM (Assets Under Management)$ 7,523,810,877

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.

Company Information

FARTHER

CRD#: 302050Upper Brookville, NY

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