Jonathan M. Friedman
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.
Jonathan Mark Friedman was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1998. Jonathan had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2012 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
November 1, 2010 - April 18, 2012
COWEN PRIME SERVICES LLC
June 29, 2010 - July 19, 2011
SANDERS MORRIS LLC
January 23, 1998 - May 6, 2009
FIRST NEW YORK SECURITIES L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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