Brian A. Fried
Professional summary
Brian Abraham Fried was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Brian had worked at 4 firms, which includes GLENN MICHAEL FINANCIAL INC., SUNPOINT SECURITIES INC., NEW TIMES SECURITIES SERVICES INC., STERLING FOSTER & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1997 - October 17, 2000
GLENN MICHAEL FINANCIAL, INC.
August 5, 1997 - September 19, 1997
SUNPOINT SECURITIES, INC.
March 12, 1997 - July 23, 1997
NEW TIMES SECURITIES SERVICES, INC.
September 22, 1995 - February 25, 1997
STERLING FOSTER & COMPANY, INC.
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
GLENN MICHAEL FINANCIAL, INC.
CRD#: 37912 / SEC#: , 8-47988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMF HOLDING CORP. | SHAREHOLDER | |
| AULLETTA, GARY GLENN | GENERAL PRINCIPAL | 8790 |
| BENOWITZ, ROBERT LAWRENCE | HEAD TRADER | 2181059 |
| KAVANAGH, JOSEPH ROBERT | GENERAL PRINCIPAL | 1348454 |
| LANAIA, FRANCINE ANN | VICE PRESIDENT, COMPLIANCE DIRECTOR | 1415689 |
| LANAIA, GLENN MICHAEL | PRESIDENT, FINOP | 1122707 |
| MERKENT, JOHN EDWARD | SROP | 1878878 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 7 |
Red Flags
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