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IF

Ira S. Friedberg

Some features on this profile are disabled
CRD#: 2651627
IF

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.

Ira Seth Friedberg was a registered financial professional .

Ira is a previously registered financial professional and started their career in finance in 1995. Ira had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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®
None

Experience

Past

August 9, 2013 - October 17, 2017

KENNETH, JEROME & CO.,INC.

BD
CRD#: 15541
FLORHAM PARK, NJ
Past

April 3, 2012 - August 5, 2013

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

March 11, 2008 - March 29, 2012

RAMPART FINANCIAL SERVICES, INC.

BD
CRD#: 43294
FORT LEE, NJ
Past

November 3, 2000 - June 14, 2006

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
ROSELAND, NJ
Past

July 10, 1998 - October 27, 2000

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

September 5, 1995 - June 9, 1998

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
RR
Series 63
Date: 10/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/1/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KJ
KENNETH, JEROME & CO.,INC.
KENNETH, JEROME & CO.,INC.

CRD#: 15541 / SEC#: , 8-32361

BD
Terminated by SEC on 12/25/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/05/1984
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KAPLON, ROBERT LEWISPRES-SROP-CROP- FINOP264206
OBRIEN, MARY ELIZABETHSEC/TRES-MP-CCO1070643

Disclosures

Regulatory Event2

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

KENNETH, JEROME & CO.,INC.

CRD#: 15541

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