Michael E. Friedman

ALLSTATE FINANCIAL ADVISORS

Waxhaw, NC 28173-6919

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CRD#: 3001504

Professional summary

Michael Edward Friedman is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Waxhaw, North Carolina and ALLSTATE FINANCIAL SERVICES, LLC located in Waxhaw, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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 Michael Edward Friedman'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®

None

Experience

Current

April 29, 2016 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 703 W South Main St Ste A, Waxhaw, NC 28173-6919

RIA

CRD#: 109524

Waxhaw, NC

Current

April 28, 2016 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 703 W South Main St Ste A, Waxhaw, NC 28173-6919

CRD#: 18272

Waxhaw, NC

Past

September 16, 2013 - July 31, 2015

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

GURNEE, IL

Past

September 16, 2013 - July 31, 2015

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

GURNEE, IL

Past

August 10, 2012 - July 1, 2013

MPS-LORIA FINANCIAL PLANNERS,LLC

RIA

CRD#: 122866

BURR RIDGE, IL

Past

August 10, 2012 - July 1, 2013

LORIA FINANCIAL GROUP, LLC

CRD#: 102360

BURR RIDGE, IL

Past

July 29, 2011 - July 25, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SCHAUMBURG, IL

Past

July 29, 2011 - July 25, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SCHAUMBURG, IL

Past

November 13, 2009 - July 29, 2011

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

WHEATON, IL

Past

November 13, 2009 - July 29, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

WHEATON, IL

Past

July 18, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

GLEN ELLYN, IL

Past

July 18, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

GLEN ELLYN, IL

Past

April 24, 2006 - April 4, 2008

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

ITASCA, IL

Past

January 28, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

ITASCA, IL

Past

January 28, 2005 - April 4, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ITASCA, IL

Past

September 27, 2004 - December 9, 2004

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

Past

August 9, 2001 - December 3, 2003

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(4/11/2017)

New York
(6/1/2018)

IAR

North Carolina
(4/29/2016)

North Carolina
(5/3/2016)

Pennsylvania
(1/26/2024)

South Carolina
(5/10/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/2/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/12/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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

Michael E. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Friedman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

MPS-LORIA FINANCIAL PLANNERS,LLC

LORIA FINANCIAL GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2006

Series 63

Date: 8/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2008

Series 6

Date: 8/2/2001

Series 26

Date: 9/12/2002

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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