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Steven Alan Friedman

CRD# 3022856·Registered 1998 - 2021
Previously Registered: Being a previously registered professional could mean that Steven 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.

Professional Summary

Steven Alan Friedman was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1998 - 2021. Steven had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 51 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

FEDERATED INTERNATIONAL SECURITIES CORP.·CRD# 290173
BD
Pittsburgh, PA
March 18, 2019 - April 27, 2021
FEDERATED INVESTMENT COUNSELING·CRD# 105325
RIA
Pittsburgh, PA
March 28, 2001 - April 27, 2021
SOUTHPOINTE DISTRIBUTION SERVICES INC.·CRD# 25320
BD
Pittsburgh, PA
January 12, 2000 - November 9, 2007
EDGEWOOD SERVICES, INC.·CRD# 35970
BD
Pittsburgh, PA
January 12, 2000 - October 4, 2013
FEDERATED SECURITIES CORP.·CRD# 5009
BD
Pittsburgh, PA
January 12, 2000 - April 27, 2021
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
May 14, 1998 - February 14, 2000

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Current Firm

FI
FEDERATED INTERNATIONAL SECURITIES CORP.

FEDERATED INTERNATIONAL SECURITIES CORP.

CRD#: 290173 / SEC#: 801-111953, 8-70132
BD
Terminated by SEC on 01/03/2025

Contact Information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Phone Number

(412) 288-1900

Established

Delaware since 09/12/2017

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

# of Employees

4

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FAVERO, AUTUMN LYNNASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER7844158
NOVAK, RICHARD ANTHONYDIRECTOR, SR. VICE PRESIDENT, TREASURER2901271
VAN METER, STEPHEN PAULCHIEF COMPLIANCE OFFICER6020413

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2001About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Nov 2012About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 1998About the Series 7 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Jul 2003About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Jul 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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